Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Functions requiring qualifications (1 Jul 2021 to 27 Aug 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (1 Jul 2021 to 27 Aug 2025)
- SMF3 Executive Director (1 Jul 2021 to 27 Aug 2025)
- [FCA CF] Client dealing (1 Jul 2021 to 27 Aug 2025)
- Responsible for Insurance Distribution (1 Jul 2021 to 27 Aug 2025)
- SMF16 Compliance Oversight (1 Jul 2021 to 27 Aug 2025)
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- CF30 Customer (11 Jul 2013 to 30 Jun 2016)
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- CF30 Customer (1 Nov 2007 to 31 May 2013)
- CF21 Investment Adviser (28 Feb 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.