Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Protean Capital LLP
FRN 593439
- 14. Managing investments
- 9A. Advising on P2P agreements
- 3. Giving personal recommendations on derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 17. Administrative functions in relation to managing investments
- 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF30 Customer (1 Nov 2013 to 8 Dec 2019)
- CF4 Partner (1 Nov 2013 to 8 Dec 2019)
- CF3 Chief Executive (1 Nov 2013 to 8 Dec 2019)
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- CF4 Partner (AR) (19 Dec 2012 to 1 Nov 2013)
- CF30 Customer (1 Oct 2012 to 1 Nov 2013)
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- CF30 Customer (1 Nov 2007 to 30 Jun 2010)
- CF21 Investment Adviser (5 Sep 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (4 May 2006 to 26 Feb 2007)
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- CF21 Investment Adviser (10 Feb 2003 to 30 Jun 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.