Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF3 Chief Executive (10 May 2017 to 8 Dec 2019)
    • CF1 Director (10 May 2017 to 8 Dec 2019)
    • CF2 Non Executive Director (15 Jul 2016 to 2 May 2017)
  • Mitsui Bussan Commodities Ltd (no longer approved here)

    FRN 469094

    • [FCA CF] Material risk taker (11 Apr 2024 to 5 Jul 2024)
    • SMF10 Chair of the Risk Committee (9 Dec 2019 to 11 Apr 2024)
    • SMF11 Chair of the Audit Committee (9 Dec 2019 to 11 Apr 2024)
    • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 11 Apr 2024)
    • CF2 Non Executive Director (4 Mar 2015 to 8 Dec 2019)
  • TRADITION LONDON CLEARING LIMITED (no longer approved here)

    FRN 190632

    • SMF9 Chair of the Governing Body (21 Jul 2020 to 31 Jan 2024)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 20 Jul 2020)
  • Tradition (UK) Limited (no longer approved here)

    FRN 139200

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Jan 2024)
    • CF2 Non Executive Director (5 Feb 2015 to 8 Dec 2019)
  • TRADITION FINANCIAL SERVICES LTD. (no longer approved here)

    FRN 147543

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Jan 2024)
    • CF2 Non Executive Director (5 Feb 2015 to 8 Dec 2019)
  • TFS Derivatives Limited (no longer approved here)

    FRN 197244

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Jan 2024)
    • CF2 Non Executive Director (5 Feb 2015 to 8 Dec 2019)

Recent activity

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