Where they hold approval

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

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF3 Chief Executive (3 Sep 2012 to 8 Dec 2019)
    • CF30 Customer (3 Sep 2012 to 8 Dec 2019)
    • CF1 Director (3 Sep 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Sep 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Sep 2012 to 8 Dec 2019)
  • PineBridge Investments Europe Limited (no longer approved here)

    FRN 122531

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2022)
    • CF30 Customer (18 Aug 2017 to 8 Dec 2019)
  • Union Bancaire Privee, UBP SA (no longer approved here)

    FRN 147562

    • CF30 Customer (19 Aug 2013 to 30 Oct 2014)
  • Chiltern Advisors LLP (no longer approved here)

    FRN 417447

    • CF30 Customer (28 May 2013 to 23 Feb 2015)
  • Daiwa Capital Markets Europe Limited (no longer approved here)

    FRN 124490

    • CF21 Investment Adviser (1 Dec 2001 to 1 May 2007)

Recent activity

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

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