Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Investment Risk Management Ltd
FRN 501839
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF1 Director (11 Nov 2009 to 8 Dec 2019)
- CF10 Compliance Oversight (11 Nov 2009 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 Nov 2009 to 8 Dec 2019)
- CF30 Customer (11 Nov 2009 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 30 Oct 2009)
- CF24 Pension Transfer Specialist (15 Aug 2006 to 31 Oct 2007)
- CF21 Investment Adviser (28 Jul 2004 to 31 Oct 2007)
- CF26 Customer Trading (28 Jul 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (1 Jul 2004 to 28 Jul 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.