Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Jul 2020)
- SMF16 Compliance Oversight (9 Dec 2019 to 24 Jul 2020)
- SMF3 Executive Director (9 Dec 2019 to 24 Jul 2020)
- CF10 Compliance Oversight (21 Feb 2013 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2006 to 31 Oct 2007)
- CF1 Director (1 Dec 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2006 to 8 Dec 2019)
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- CF21 Investment Adviser (6 Mar 2006 to 30 Nov 2006)
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- Employed By (10 Jun 2003 to 30 Nov 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.