Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- Responsibility for MCD Intermediation (2 Dec 2022 to 21 May 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (2 Dec 2022 to 21 May 2024)
- SMF16 Compliance Oversight (2 Dec 2022 to 21 May 2024)
- Responsible for Insurance Distribution (2 Dec 2022 to 21 May 2024)
- SMF3 Executive Director (23 Sep 2022 to 21 May 2024)
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- SMF16 Compliance Oversight (9 Feb 2022 to 21 May 2024)
- Responsible for Insurance Distribution (9 Feb 2022 to 21 May 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Feb 2022 to 21 May 2024)
- SMF3 Executive Director (9 Feb 2022 to 21 May 2024)
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- Director of firm who is not a certification employee or a SMF manager (27 Sep 2021 to 25 Nov 2021)
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- SMF9 Chair of the Governing Body (23 Feb 2021 to 30 Jun 2025)
- SMF14 Senior Independent Director (30 May 2019 to 23 Feb 2021)
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- CF1 Director (4 Jun 2013 to 7 Jan 2014)
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- CF22 Investment Adviser (Trainee) (30 Apr 2004 to 30 Nov 2004)
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- CF22 Investment Adviser (Trainee) (14 Feb 2002 to 30 Jul 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.