Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
    • [PRA CF] Significant risk taker or Material risk taker (30 Aug 2019 to 7 Aug 2020)
    • [FCA CF] Manager of certification employee (1 Jul 2018 to 8 Apr 2020)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [PRA CF] Significant risk taker or Material risk taker (30 Aug 2019 to 7 Aug 2020)

Recent activity

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

No changes recorded yet.