Last updated
2 weeks ago
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Where they hold approval

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

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (19 Dec 2023 to 12 Feb 2025)
    • SMF16 Compliance Oversight (30 Nov 2023 to 6 May 2025)
    • SMF1 Chief Executive (9 Dec 2019 to 6 May 2025)
    • CF28 Systems and controls (15 Feb 2017 to 8 Dec 2019)
    • CF3 Chief Executive (10 Nov 2016 to 8 Dec 2019)
    • CF30 Customer (15 Nov 2012 to 8 Dec 2019)
    • CF4 Partner (15 Nov 2012 to 8 Dec 2019)
  • Societe Generale (no longer approved here)

    FRN 124866

    • CF29 Significant management (9 Sep 2008 to 3 Jan 2012)
    • CF30 Customer (9 Sep 2008 to 3 Jan 2012)
  • J.P. Morgan Markets Limited (no longer approved here)

    FRN 114031

    • CF30 Customer (1 Nov 2007 to 6 Jun 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 6 Jun 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Rooftop Mortgages Limited (no longer approved here)

    FRN 303059

    • CF2 Non Executive Director (5 May 2005 to 30 May 2008)

Recent activity

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

No changes recorded yet.