Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Burwood Sage + Brookridge Ltd
FRN 231631
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF1 Director (AR) (since 19 Apr 2017)
- CF4 Partner (AR) (since 19 Apr 2017)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF11 Money Laundering Reporting (30 Dec 2006 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (17 May 2004 to 31 Mar 2009)
- CF1 Director (17 May 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (17 May 2004 to 8 Dec 2019)
- CF21 Investment Adviser (17 May 2004 to 23 Nov 2004)
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Burwood Sage Asset Management Ltd
FRN 210723
- Employed By (since 19 Apr 2017)
- Employed By (4 Apr 2002 to 17 Oct 2003)
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BS & B LLP
FRN 551931
- Employed By (since 19 Apr 2017)
Recent activity
Updates to this individual's record on the FCA register.
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