Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Significant management (9 Dec 2019 to 11 Oct 2023)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 11 Oct 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 11 Oct 2023)
    • CF10 Compliance Oversight (2 Jun 2017 to 8 Dec 2019)
    • CF1 Director (14 Jun 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jun 2007 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (14 Jun 2007 to 31 Mar 2009)

Recent activity

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

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