Where they hold approval

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

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF4 Partner (18 May 2015 to 8 Dec 2019)
    • CF30 Customer (18 May 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Jul 2013 to 8 Dec 2019)
  • Gladstone Capital Management LLP (no longer approved here)

    FRN 434216

    • CF10 Compliance Oversight (2 Oct 2012 to 13 May 2013)
    • CF11 Money Laundering Reporting (2 Oct 2012 to 13 May 2013)
    • CF4 Partner (15 Aug 2012 to 13 May 2013)
    • CF30 Customer (1 Nov 2011 to 10 Jun 2013)

Recent activity

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

No changes recorded yet.