Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Perspective (Central & East) Limited (no longer approved here)

    FRN 223377

    • [FCA CF] Client dealing (11 Jan 2021 to 30 Jun 2022)
    • [FCA CF] Manager of certification employee (11 Jan 2021 to 30 Jun 2022)
    • [FCA CF] Functions requiring qualifications (11 Jan 2021 to 30 Jun 2022)
    • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jun 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 30 Jun 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Jun 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (10 Jun 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Jun 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (10 Jun 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Jun 2003 to 8 Dec 2019)
    • CF1 Director (10 Jun 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jun 2003 to 31 Mar 2009)
  • The Independent Life & Pensions Group Ltd (no longer approved here)

    FRN 184042

    • Employed By (1 Dec 2001 to 9 Dec 2003)

Recent activity

Updates to this individual's record on the FCA register.

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