Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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BANK OF CHINA (UK) LIMITED
FRN 467410
- SMF11 Chair of the Audit Committee (since 19 Jan 2026)
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C. HOARE & CO.
FRN 122093
- SMF11 Chair of the Audit Committee (since 26 Mar 2025)
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- SMF7 Group Entity Senior Manager (13 Feb 2023 to 2 Oct 2023)
- [FCA CF] Material risk taker (1 Oct 2020 to 18 Feb 2023)
- [FCA CF] Manager of certification employee (1 Oct 2020 to 18 Feb 2023)
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- [FCA CF] Manager of certification employee (26 Sep 2022 to 31 Dec 2023)
- SMF7 Group Entity Senior Manager (7 Mar 2016 to 23 Dec 2020)
- CF1 Director (18 Jul 2013 to 6 Mar 2016)
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- [FCA CF] Material risk taker (26 Sep 2022 to 2 Oct 2023)
- [FCA CF] Manager of certification employee (1 Oct 2020 to 2 Oct 2023)
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- (289)[FCA CF] Material risk taker (1 Oct 2020 to 31 Dec 2023)
- (290)[FCA CF] Manager of certification employee (1 Oct 2020 to 31 Dec 2023)
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- [FCA CF] Manager of certification employee (1 Oct 2020 to 31 Dec 2023)
- [FCA CF] Material risk taker (1 Oct 2020 to 31 Dec 2023)
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- SMF9 Chair of the Governing Body (21 Apr 2020 to 2 Oct 2023)
- SMF3 Executive Director (9 Dec 2019 to 2 Oct 2023)
- CF1 Director (5 May 2013 to 8 Dec 2019)
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- SMF7 Group Entity Senior Manager (21 Apr 2020 to 2 Oct 2023)
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- SMF7 Group Entity Senior Manager (21 Apr 2020 to 6 Jan 2021)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (289)[FCA CF] Material risk taker at Nippon Life Schroders Asset Management Europe Limited
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controlled function added: (290)[FCA CF] Manager of certification employee at Nippon Life Schroders Asset Management Europe Limited