Where they hold approval

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

  • HAWKSMOOR INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 472929

    • 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)
  • Impax Asset Management Limited (no longer approved here)

    FRN 197008

    • 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.

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