Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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CheckRisk LLP
FRN 490575
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Significant management (since 5 Mar 2021)
- [FCA CF] Client dealing (since 5 Mar 2021)
- [FCA CF] Functions requiring qualifications (since 5 Mar 2021)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- CF10 Compliance Oversight (29 Nov 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (29 Nov 2017 to 8 Dec 2019)
- CF3 Chief Executive (11 Dec 2008 to 8 Dec 2019)
- CF4 Partner (11 Dec 2008 to 8 Dec 2019)
- CF30 Customer (11 Dec 2008 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.