Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Jul 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Mar 2024)
- SMF3 Executive Director (9 Dec 2019 to 13 Mar 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (23 Sep 2005 to 31 Oct 2007)
- CF1 Director (23 Feb 2005 to 23 Feb 2006)
- CF10 Compliance Oversight (23 Feb 2005 to 23 Feb 2006)
- CF11 Money Laundering Reporting (23 Feb 2005 to 23 Feb 2006)
- CF8 Apportionment and Oversight (23 Feb 2005 to 23 Feb 2006)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- CF21 Investment Adviser (27 Aug 2004 to 22 Sep 2004)
- CF24 Pension Transfer Specialist (27 Aug 2004 to 22 Sep 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.