Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (28 Apr 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Apr 2017 to 8 Dec 2019)
    • CF3 Chief Executive (19 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (29 Dec 2010 to 8 Dec 2019)
    • CF1 Director (29 Dec 2010 to 8 Dec 2019)
  • EQ Investors Limited (no longer approved here)

    FRN 539422

    • CF3 Chief Executive (19 Apr 2013 to 10 Oct 2014)
    • CF4 Partner (AR) (29 Aug 2012 to 1 Mar 2014)
    • CF1 Director (AR) (4 Nov 2011 to 1 Mar 2014)
    • CF30 Customer (1 Jun 2011 to 30 Dec 2012)
    • CF1 Director (1 Jun 2011 to 10 Oct 2014)
  • Truestone Wellers LLP (no longer approved here)

    FRN 583152

    • Employed By (29 Aug 2012 to 8 Dec 2019)

Recent activity

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

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