Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- Director of firm who is not a certification employee or a SMF manager (6 Nov 2023 to 5 Mar 2024)
- SMF10 Chair of the Risk Committee (9 Dec 2019 to 26 Sep 2023)
- SMF9 Chair of the Governing Body (9 Dec 2019 to 5 Nov 2023)
- CF2 Non Executive Director (10 Oct 2019 to 8 Dec 2019)
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- Director of firm who is not a certification employee or a SMF manager (27 Sep 2023 to 5 Mar 2024)
- SMF10 Chair of the Risk Committee (9 Dec 2019 to 26 Sep 2023)
- CF2 Non Executive Director (19 Jan 2015 to 8 Dec 2019)
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- SMF9 Chair of the Governing Body (20 Mar 2020 to 28 Sep 2021)
- SMF3 Executive Director (9 Dec 2019 to 28 Sep 2021)
- SMF1 Chief Executive (9 Dec 2019 to 28 Sep 2021)
- CF11 Money Laundering Reporting (8 Feb 2012 to 27 Dec 2017)
- CF10 Compliance Oversight (8 Feb 2012 to 27 Dec 2017)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (6 Jul 2006 to 31 Oct 2007)
- CF3 Chief Executive (6 Jul 2006 to 8 Dec 2019)
- CF1 Director (6 Jul 2006 to 8 Dec 2019)
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- CF1 Director (9 Nov 2018 to 16 Oct 2019)
- CF2 Non Executive Director (3 May 2017 to 9 Nov 2018)
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- CF2 Non Executive Director (3 Jul 2014 to 31 Jul 2015)
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- CF2 Non Executive Director (18 Mar 2010 to 31 Jul 2015)
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- CF8 Apportionment and Oversight (1 Dec 2001 to 7 Feb 2005)
- CF3 Chief Executive (1 Dec 2001 to 7 Feb 2005)
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- CF8 Apportionment and Oversight (1 Dec 2001 to 7 Feb 2005)
- CF3 Chief Executive (1 Dec 2001 to 7 Feb 2005)
- CF1 Director (1 Dec 2001 to 7 Feb 2005)
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- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 7 Feb 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.