Where they hold approval

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

    • 14. Managing investments
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 25 Nov 2019)
    • [FCA CF] Client dealing (since 25 Nov 2019)
  • Standard Chartered Bank (no longer approved here)

    FRN 114276

    • [FCA CF] Manager of certification employee (7 Nov 2018 to 31 Oct 2019)
  • GAM London Limited (no longer approved here)

    FRN 122330

    • CF30 Customer (2 Sep 2017 to 8 Nov 2018)
  • Royal London Asset Management Limited (no longer approved here)

    FRN 141665

    • CF27 Investment Management (1 Dec 2001 to 13 Feb 2004)

Recent activity

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

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