Where they hold approval

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

    • [FCA CF] Client dealing (since 1 Jan 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (9 Dec 2019 to 9 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Jul 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Jul 2025)
    • CF11 Money Laundering Reporting (19 Nov 2012 to 8 Dec 2019)
    • CF1 Director (19 Nov 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Nov 2012 to 8 Dec 2019)
    • CF3 Chief Executive (19 Nov 2012 to 8 Dec 2019)
    • CF30 Customer (19 Nov 2012 to 8 Dec 2019)
  • Haitong International (UK) Limited (no longer approved here)

    FRN 196482

    • CF2 Non Executive Director (5 Jul 2012 to 21 Apr 2016)
    • CF1 Director (16 Mar 2010 to 5 Jul 2012)
    • CF30 Customer (11 Feb 2010 to 31 May 2012)
  • NCM Fund Services Limited (no longer approved here)

    FRN 183732

    • CF1 Director (20 Mar 2008 to 30 Nov 2009)
  • Amati Global Investors Limited (no longer approved here)

    FRN 198024

    • CF1 Director (15 Feb 2007 to 8 Feb 2010)

Recent activity

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

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