Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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GuardCap Asset Management Limited
FRN 223961
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (12 Jun 2014 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 8 Oct 2013)
- CF11 Money Laundering Reporting (2 Feb 2005 to 28 Apr 2011)
- CF3 Chief Executive (1 Feb 2005 to 8 Oct 2013)
- CF1 Director (1 Dec 2001 to 8 Oct 2013)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Oct 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.