Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF16 Compliance Oversight (9 Dec 2019 to 8 Oct 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Oct 2020)
- CF10 Compliance Oversight (6 Aug 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (6 Aug 2014 to 8 Dec 2019)
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- CF10a CASS Oversight function (7 Dec 2011 to 6 Sep 2013)
- CF28 Systems and controls (15 Apr 2009 to 6 Sep 2013)
- CF10 Compliance Oversight (1 Jul 2008 to 6 Sep 2013)
- CF11 Money Laundering Reporting (1 Jul 2008 to 6 Sep 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.