Where they hold approval

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

    • Director of firm who is not a certification employee or a SMF manager (since 15 Apr 2025)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • SMF16 Compliance Oversight (24 Oct 2017 to 29 May 2019)
  • TD Bank Europe Limited (no longer approved here)

    FRN 165556

    • SMF3 Executive Director (24 Oct 2017 to 29 May 2019)
    • SMF16 Compliance Oversight (24 Oct 2017 to 29 May 2019)
  • Cantor Fitzgerald Europe (no longer approved here)

    FRN 149380

    • CF10 Compliance Oversight (10 Dec 2008 to 13 Dec 2010)
    • CF11 Money Laundering Reporting (10 Dec 2008 to 13 Dec 2010)
  • BGC Brokers L.P (no longer approved here)

    FRN 454814

    • CF10 Compliance Oversight (7 May 2008 to 13 Dec 2010)
    • CF11 Money Laundering Reporting (7 May 2008 to 13 Dec 2010)

Recent activity

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

No changes recorded yet.