Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- (11)[FCA CF] Client dealing (24 May 2021 to 29 Mar 2026)
- (3)SMF27 Partner (9 Dec 2019 to 29 Mar 2026)
- (4)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Mar 2026)
- (5)SMF16 Compliance Oversight (9 Dec 2019 to 29 Mar 2026)
- (12)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 May 2021)
- (2)Responsible for Insurance Distribution (1 Oct 2018 to 29 Mar 2026)
- (9)CF8 Apportionment and Oversight (2 Jan 2009 to 31 Mar 2009)
- (1)Responsible for Insurance Mediation (2 Jan 2009 to 30 Sep 2018)
- (10)CF4 Partner (2 Jan 2009 to 8 Dec 2019)
- (6)CF30 Customer (2 Jan 2009 to 8 Dec 2019)
- (7)CF11 Money Laundering Reporting (2 Jan 2009 to 8 Dec 2019)
- (8)CF10 Compliance Oversight (2 Jan 2009 to 8 Dec 2019)
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- (1)Employed By (1 Dec 2001 to 30 Dec 2008)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Responsible for Insurance Distribution at Financial Management
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controlled function removed: SMF27 Partner at Financial Management
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controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Financial Management
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controlled function removed: SMF16 Compliance Oversight at Financial Management
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controlled function removed: [FCA CF] Client dealing at Financial Management
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controlled function added: (1)Responsible for Insurance Mediation at Financial Management
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controlled function added: (2)Responsible for Insurance Distribution at Financial Management
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controlled function added: (3)SMF27 Partner at Financial Management
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controlled function added: (4)SMF17 Money Laundering Reporting Officer (MLRO) at Financial Management
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controlled function added: (5)SMF16 Compliance Oversight at Financial Management