Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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.