Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- CF30 Customer (1 Nov 2007 to 31 Mar 2014)
- CF11 Money Laundering Reporting (7 Feb 2006 to 31 Mar 2014)
- CF10 Compliance Oversight (7 Feb 2006 to 31 Mar 2014)
- CF8 Apportionment and Oversight (29 Nov 2002 to 31 Mar 2009)
- CF21 Investment Adviser (29 Nov 2002 to 31 Oct 2007)
- CF1 Director (29 Nov 2002 to 19 Nov 2013)
- CF3 Chief Executive (29 Nov 2002 to 31 Mar 2014)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.