Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- SMF16 Compliance Oversight (9 Dec 2019 to 13 Jun 2023)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Jul 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 27 Jul 2023)
- SMF3 Executive Director (9 Dec 2019 to 13 Jun 2023)
- Responsible for Insurance Distribution (1 Oct 2018 to 21 Jan 2023)
- Responsible for Insurance Mediation (19 Feb 2011 to 30 Sep 2018)
- CF10 Compliance Oversight (19 Feb 2011 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.