Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Functions requiring qualifications (1 Oct 2020 to 30 Jan 2026)
- [FCA CF] Client dealing (1 Oct 2020 to 30 Jan 2026)
- SMF17 Money Laundering Reporting Officer (MLRO) (7 Jul 2020 to 30 Jan 2026)
- SMF16 Compliance Oversight (7 Jul 2020 to 30 Jan 2026)
- Responsibility for MCD Intermediation (7 Jul 2020 to 19 Jul 2023)
- SMF3 Executive Director (9 Dec 2019 to 30 Jan 2026)
- Responsible for Insurance Distribution (1 Oct 2018 to 30 Jan 2026)
- Responsible for Insurance Mediation (25 Jan 2018 to 30 Sep 2018)
- CF1 Director (14 Dec 2007 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (8 May 2003 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.