Where they hold approval

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

    • [FCA CF] Significant management (since 19 Dec 2019)
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2019 to 8 Dec 2019)
    • CF1 Director (1 Oct 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2019 to 8 Dec 2019)
  • Arcus Investment Limited (no longer approved here)

    FRN 188741

    • CF1 Director (AR) (6 Jun 2017 to 30 Sep 2019)
    • CF30 Customer (1 Nov 2007 to 30 Sep 2019)
    • CF21 Investment Adviser (26 Jul 2007 to 31 Oct 2007)
  • HANDELSBANKEN WEALTH & ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 197340

    • CF30 Customer (8 Nov 2010 to 31 Jul 2012)
  • Towers Watson Investment Management Limited (no longer approved here)

    FRN 446740

    • CF30 Customer (1 Nov 2007 to 1 Dec 2009)
    • CF21 Investment Adviser (28 Apr 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.