Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2016)
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF28 Systems and controls (1 Nov 2007 to 26 Jul 2017)
- CF13 Finance (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF3 Chief Executive (1 Dec 2001 to 10 Jan 2017)
- CF1 Director (1 Dec 2001 to 31 May 2019)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2006)
- CF11 Money Laundering Reporting (1 Dec 2001 to 31 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.