Last updated
2 weeks ago
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Where they hold approval

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

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF3 Chief Executive (26 Oct 2009 to 8 Dec 2019)
    • CF1 Director (26 Oct 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Oct 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (26 Oct 2009 to 8 Dec 2019)
  • JK Investment Management LLP (no longer approved here)

    FRN 225510

    • CF30 Customer (1 Nov 2007 to 3 Nov 2008)
    • CF21 Investment Adviser (27 Nov 2006 to 31 Oct 2007)
  • Macquarie Capital (Europe) Limited (no longer approved here)

    FRN 193905

    • CF21 Investment Adviser (10 Feb 2005 to 6 Nov 2006)

Recent activity

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

No changes recorded yet.