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 30 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Aug 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (23 Aug 2006 to 21 Jun 2016)
    • CF1 Director (23 Aug 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Aug 2006 to 21 Jun 2016)
    • CF8 Apportionment and Oversight (23 Aug 2006 to 31 Oct 2007)
  • JEFFERIES ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 218270

    • CF21 Investment Adviser (22 Aug 2003 to 10 Oct 2005)
    • CF26 Customer Trading (22 Aug 2003 to 10 Oct 2005)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF21 Investment Adviser (14 May 2003 to 10 Oct 2005)

Recent activity

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

No changes recorded yet.