Where they hold approval

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

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (30 Apr 2015 to 8 Dec 2019)
    • CF3 Chief Executive (8 Apr 2014 to 1 Jun 2016)
    • CF29 Significant management (2 May 2013 to 31 Mar 2014)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • R.J. O'Brien Limited (no longer approved here)

    FRN 114120

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 1 Jan 2026)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2026)
    • CF2 Non Executive Director (30 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (24 Feb 2015 to 30 Apr 2015)
    • CF28 Systems and controls (23 Apr 2008 to 26 Sep 2013)
    • CF30 Customer (1 Nov 2007 to 7 Feb 2013)
    • CF26 Customer Trading (22 Jun 2006 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 30 Apr 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 22 Jun 2006)
    • CF3 Chief Executive (1 Dec 2001 to 30 Apr 2015)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • MAREX FX LIMITED (no longer approved here)

    FRN 810631

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 29 Jul 2025)
    • CF2 Non Executive Director (31 Oct 2018 to 8 Dec 2019)
  • Kyte Broking Limited (no longer approved here)

    FRN 174863

    • CF2 Non Executive Director (1 Jan 2019 to 13 Jun 2019)
    • CF10 Compliance Oversight (24 Feb 2015 to 21 May 2015)
    • CF28 Systems and controls (23 Apr 2008 to 26 Sep 2013)
    • CF30 Customer (1 Nov 2007 to 7 Feb 2013)
    • CF26 Customer Trading (22 Jun 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 22 Jun 2006)
    • CF1 Director (1 Dec 2001 to 21 May 2015)
    • CF3 Chief Executive (1 Dec 2001 to 21 May 2015)

Recent activity

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

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