Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Benchmark submission and administration (since 6 Mar 2026)
    • [FCA CF] Client dealing (since 6 Mar 2026)
    • [FCA CF] Functions requiring qualifications (since 6 Mar 2026)
    • [FCA CF] Manager of certification employee (since 6 Mar 2026)
    • [FCA CF] Material risk taker (since 6 Mar 2026)
    • [FCA CF] Significant management (since 6 Mar 2026)
    • [PRA CF] Key function holder (since 6 Mar 2026)
    • [PRA CF] Managing a material risk taker (since 6 Mar 2026)
    • [PRA CF] Significant risk taker or Material risk taker (since 6 Mar 2026)

Recent activity

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