Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • [FCA CF] Client dealing (since 1 Oct 2020)
    • SMF18 Other Overall Responsibility (since 11 May 2020)
    • [FCA CF] Material risk taker (26 Jan 2024 to 1 Aug 2024)
    • [FCA CF] Manager of certification employee (1 Oct 2020 to 1 Jun 2022)
    • CF30 Customer (11 Feb 2008 to 8 Dec 2019)
  • Northern Bank Limited (no longer approved here)

    FRN 122261

    • CF30 Customer (1 Nov 2007 to 8 Jan 2008)
    • CF27 Investment Management (18 Apr 2006 to 31 Oct 2007)

Recent activity

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

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