Where they hold approval

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

    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (20 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2012 to 27 Sep 2016)
    • CF11 Money Laundering Reporting (11 Jan 2012 to 27 Sep 2016)
    • CF30 Customer (11 Jan 2012 to 27 Sep 2016)
  • RHONE GROUP LLP (no longer approved here)

    FRN 459919

    • CF11 Money Laundering Reporting (23 Jul 2009 to 15 Sep 2011)
    • CF10 Compliance Oversight (23 Jul 2009 to 15 Sep 2011)
    • CF4 Partner (23 Jul 2009 to 26 Jun 2013)
    • CF30 Customer (10 Mar 2009 to 26 Jun 2013)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
    • CF21 Investment Adviser (13 Dec 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Oct 2003 to 13 Dec 2006)

Recent activity

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

No changes recorded yet.