Where they hold approval

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

    • [FCA CF] Manager of certification employee (since 18 Jan 2021)
    • [FCA CF] Client dealing (since 18 Jan 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (8 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (15 Nov 2002 to 17 Aug 2011)
    • CF8 Apportionment and Oversight (15 Nov 2002 to 31 Oct 2007)
    • CF27 Investment Management (15 Nov 2002 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (15 Nov 2002 to 14 Dec 2011)
    • CF10 Compliance Oversight (15 Nov 2002 to 14 Dec 2011)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF30 Customer (9 Mar 2012 to 6 Mar 2016)

Recent activity

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

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