Where they hold approval

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

    • SMF16 Compliance Oversight (since 20 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jan 2024)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF10 Compliance Oversight (19 Sep 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Sep 2016 to 8 Dec 2019)
    • CF28 Systems and controls (19 Sep 2016 to 8 Dec 2019)
  • Broadwalk Asset Management LLP (no longer approved here)

    FRN 475886

    • SMF16 Compliance Oversight (17 Mar 2023 to 5 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (17 Mar 2023 to 5 Mar 2024)

Recent activity

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

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