Last updated
3 weeks ago
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Where they hold approval

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

    • (7)SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • (85)CF2 Non Executive Director (17 Aug 2018 to 8 Dec 2019)
  • NOMURA ASSET MANAGEMENT U.K. LIMITED (no longer approved here)

    FRN 122703

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 1 Jul 2020)
    • CF2 Non Executive Director (4 Nov 2010 to 8 Dec 2019)
  • Blackfriars Asset Management Limited (no longer approved here)

    FRN 180892

    • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
    • CF27 Investment Management (29 Sep 2004 to 31 Oct 2007)
    • CF3 Chief Executive (29 Sep 2004 to 7 May 2006)
    • CF8 Apportionment and Oversight (29 Sep 2004 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 27 Mar 2002)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 15 Jul 2007)
    • CF1 Director (1 Dec 2001 to 31 Dec 2008)

Recent activity

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

  1. controlled function removed: SMF9 Chair of the Governing Body at Lothbury Investment Management Limited

  2. controlled function added: (85)CF2 Non Executive Director at Lothbury Investment Management Limited

  3. controlled function added: (7)SMF9 Chair of the Governing Body at Lothbury Investment Management Limited