Where they hold approval

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

  • S&P Dow Jones Indices Limited (no longer approved here)

    FRN 797013

    • SMF9 Chair of the Governing Body (18 Dec 2020 to 17 Oct 2022)
    • SMF3 Executive Director (7 Dec 2020 to 17 Oct 2022)
    • SMF1 Chief Executive (7 Dec 2020 to 17 Oct 2022)
    • CF1 Director (27 Jan 2020 to 6 Dec 2020)
    • CF3 Chief Executive (27 Jan 2020 to 6 Dec 2020)
  • Tradeweb Europe Limited (no longer approved here)

    FRN 193705

    • CF10 Compliance Oversight (8 Dec 2017 to 26 Feb 2018)
    • CF11 Money Laundering Reporting (8 Dec 2017 to 26 Feb 2018)
    • CF1 Director (25 Sep 2017 to 7 Jun 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (1 Nov 2007 to 16 Jan 2008)
    • CF21 Investment Adviser (23 Jul 2004 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (1 Dec 2001 to 14 Apr 2004)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 14 Apr 2004)

Recent activity

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

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