Where they hold approval

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

  • Northern Trust Securities LLP (no longer approved here)

    FRN 465131

    • [FCA CF] Significant management (1 Mar 2020 to 12 Jul 2023)
    • [FCA CF] Client dealing (1 Mar 2020 to 12 Jul 2023)
    • [FCA CF] Manager of certification employee (1 Mar 2020 to 12 Jul 2023)
    • [FCA CF] Material risk taker (1 Mar 2020 to 12 Jul 2023)
    • CF30 Customer (20 Apr 2017 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (18 Jul 2003 to 31 Oct 2007)
    • CF26 Customer Trading (18 Jul 2003 to 12 Aug 2004)

Recent activity

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

No changes recorded yet.