Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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NatWest Markets Plc
FRN 121882
- SMF7 Group Entity Senior Manager (since 15 Oct 2024)
- SMF1 Chief Executive (15 Oct 2024 to 15 Oct 2024)
- [FCA CF] Manager of certification employee (26 Jan 2017 to 17 Mar 2020)
- [FCA CF] Material risk taker (7 Mar 2016 to 17 Mar 2020)
- [FCA CF] Significant management (7 Mar 2016 to 17 Mar 2020)
- [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 17 Mar 2020)
- CF30 Customer (27 Aug 2015 to 6 Mar 2016)
- CF29 Significant management (23 Sep 2013 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- SMF6 Head of Key Business Areas (since 15 Dec 2023)
- [PRA CF] Significant risk taker or Material risk taker (10 Jun 2021 to 5 Jan 2024)
- [FCA CF] Material risk taker (7 Mar 2016 to 17 Mar 2020)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 28 Jul 2023)
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Coutts & Company
FRN 122287
- SMF18 Other Overall Responsibility (since 15 Dec 2023)
- [PRA CF] Significant risk taker or Material risk taker (18 Aug 2023 to 5 Jan 2024)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 28 Jul 2023)
- [FCA CF] Material risk taker (7 Mar 2016 to 17 Mar 2020)
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Lombard North Central PLC
FRN 710598
- [FCA CF] Manager of certification employee (since 15 Sep 2023)
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- SMF7 Group Entity Senior Manager (since 25 Aug 2023)
- [FCA CF] Manager of certification employee (26 May 2023 to 30 Aug 2023)
- [FCA CF] Material risk taker (2 Apr 2018 to 17 Mar 2020)
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- SMF7 Group Entity Senior Manager (since 25 Aug 2023)
Recent activity
Updates to this individual's record on the FCA register.
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