Where they hold approval

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

  • Maxis Investments Ltd (no longer approved here)

    FRN 441316

    • CF10a CASS Oversight function (23 Jan 2017 to 21 Dec 2017)
    • CF30 Customer (1 Nov 2007 to 21 Dec 2017)
    • CF10 Compliance Oversight (19 Jan 2007 to 21 Dec 2017)
    • CF11 Money Laundering Reporting (19 Jan 2007 to 21 Dec 2017)
    • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (9 Jun 2006 to 31 Oct 2007)
    • CF26 Customer Trading (9 Jun 2006 to 31 Oct 2007)
    • CF3 Chief Executive (9 Jun 2006 to 21 Dec 2017)
    • CF1 Director (9 Jun 2006 to 21 Dec 2017)

Recent activity

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

No changes recorded yet.