Where they hold approval

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

  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • [FCA CF] Manager of certification employee (1 Mar 2020 to 22 May 2020)
    • [FCA CF] Significant management (1 Mar 2020 to 22 May 2020)
    • [FCA CF] Material risk taker (1 Mar 2020 to 22 May 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (24 Jun 2005 to 31 Oct 2007)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • CF26 Customer Trading (24 Jun 2005 to 14 Jul 2006)
  • Aviva Investors Global Services Limited (no longer approved here)

    FRN 119178

    • CF26 Customer Trading (2 Oct 2003 to 14 Jun 2004)
    • CF27 Investment Management (1 Dec 2001 to 2 Oct 2003)

Recent activity

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

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