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 (9 Dec 2019 to 3 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Apr 2020)
    • CF10 Compliance Oversight (12 May 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 May 2010 to 8 Dec 2019)
    • CF30 Customer (12 May 2010 to 8 Dec 2019)
    • CF4 Partner (12 May 2010 to 8 Dec 2019)
  • Sturgeon Ventures LLP (no longer approved here)

    FRN 452811

    • CF30 Customer (1 Nov 2007 to 24 Feb 2009)
    • CF21 Investment Adviser (22 Mar 2007 to 31 Oct 2007)
    • CF4 Partner (AR) (22 Mar 2007 to 24 Feb 2009)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (1 Jun 2005 to 22 Apr 2007)
  • Clarke Hillyer Ltd (no longer approved here)

    FRN 414459

    • Employed By (22 Nov 2004 to 22 Apr 2007)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jun 2005)

Recent activity

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

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