Where they hold approval

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

    • [FCA CF] Client dealing (since 3 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF1 Director (AR) (since 10 Jul 2017)
    • CF30 Customer (since 11 Jul 2013)
    • CF11 Money Laundering Reporting (12 Jun 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Jun 2014 to 8 Dec 2019)
    • CF1 Director (11 Jul 2013 to 8 Dec 2019)
  • Castle Rock Capital Management Limited (no longer approved here)

    FRN 595131

    • Employed By (10 Jul 2017 to 30 Jun 2021)

Recent activity

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

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