Where they hold approval

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

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (3 Oct 2014 to 8 Dec 2019)
    • CF1 Director (3 Oct 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Oct 2014 to 8 Dec 2019)
  • Mercia Regional Ventures Limited (no longer approved here)

    FRN 183363

    • CF30 Customer (29 Mar 2010 to 31 May 2014)
  • YFM Private Equity Limited (no longer approved here)

    FRN 122120

    • CF30 Customer (11 Feb 2010 to 28 Feb 2010)

Recent activity

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

No changes recorded yet.