Where they hold approval

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

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (11 Oct 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Oct 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Oct 2012 to 8 Dec 2019)
    • CF30 Customer (11 Oct 2012 to 8 Dec 2019)
  • Sequoia Investment Management Company Limited (no longer approved here)

    FRN 516153

    • CF1 Director (AR) (20 Aug 2012 to 11 Oct 2012)
    • CF30 Customer (20 Aug 2012 to 11 Oct 2012)
  • ICBC Standard Bank Plc (no longer approved here)

    FRN 124823

    • CF29 Significant management (12 Jun 2008 to 11 Nov 2009)
    • CF30 Customer (1 Nov 2007 to 24 Nov 2010)
    • CF21 Investment Adviser (22 Mar 2004 to 31 Oct 2007)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2004)

Recent activity

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

No changes recorded yet.