Where they hold approval

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

  • Sumitomo Mitsui DS Asset Management (UK) Limited (no longer approved here)

    FRN 115126

    • CF10 Compliance Oversight (18 Aug 2010 to 3 Mar 2011)
    • CF11 Money Laundering Reporting (18 Aug 2010 to 3 Mar 2011)
    • CF30 Customer (23 Feb 2009 to 4 Jun 2012)
    • CF3 Chief Executive (20 Jun 2008 to 4 Jun 2012)
    • CF1 Director (13 Jun 2008 to 4 Jun 2012)

Recent activity

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

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