Where they hold approval

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

  • Northern Trust Securities LLP (no longer approved here)

    FRN 465131

    • CF11 Money Laundering Reporting (22 Jun 2015 to 25 Aug 2016)
    • CF4 Partner (18 Jul 2014 to 29 Jun 2018)
    • CF10 Compliance Oversight (14 Feb 2008 to 17 May 2010)
    • CF30 Customer (1 Nov 2007 to 29 Jun 2018)
    • CF26 Customer Trading (10 Jul 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.