Where they hold approval

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

    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (25 Oct 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Oct 2012 to 8 Dec 2019)
    • CF4 Partner (25 Oct 2012 to 8 Dec 2019)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • CF1 Director (AR) (1 Oct 2012 to 23 Jan 2013)
    • CF30 Customer (26 Jan 2012 to 23 Jan 2013)
  • Canadian Imperial Bank of Commerce (no longer approved here)

    FRN 141285

    • CF21 Investment Adviser (1 Dec 2001 to 8 Jun 2005)

Recent activity

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

No changes recorded yet.