Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Dragon Capital Markets (Europe) Limited
FRN 449901
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 28 Jul 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Jul 2025)
- SMF1 Chief Executive (9 Dec 2019 to 28 Jul 2025)
- [FCA CF] Significant management (9 Dec 2019 to 4 Aug 2025)
- SMF3 Executive Director (9 Dec 2019 to 28 Jul 2025)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (5 Jun 2006 to 31 Oct 2007)
- CF10 Compliance Oversight (5 Jun 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (5 Jun 2006 to 8 Dec 2019)
- CF21 Investment Adviser (5 Jun 2006 to 31 Oct 2007)
- CF3 Chief Executive (5 Jun 2006 to 8 Dec 2019)
- CF1 Director (5 Jun 2006 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.