Last updated
1 week ago
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Where they hold approval

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

  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • [FCA CF] Material risk taker (25 Nov 2016 to 31 Oct 2020)
    • [PRA CF] Significant risk taker or Material risk taker (25 Nov 2016 to 31 Oct 2020)
    • CF10 Compliance Oversight (3 Apr 2009 to 22 Jan 2012)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • CF28 Systems and controls (27 Apr 2009 to 15 May 2009)
    • CF10 Compliance Oversight (27 Apr 2009 to 15 May 2009)
    • CF11 Money Laundering Reporting (27 Apr 2009 to 15 May 2009)
    • CF1 Director (15 Sep 2003 to 30 Jun 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF1 Director (AR) (18 Feb 2002 to 1 Jun 2003)
    • CF1 Director (1 Dec 2001 to 30 Jun 2007)

Recent activity

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

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