Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- SMF13 Chair of the Nominations Committee (since 29 Jul 2024)
- SMF9 Chair of the Governing Body (since 1 Mar 2024)
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- SMF12 Chair of the Remuneration Committee (22 Jul 2020 to 12 Feb 2024)
- SMF11 Chair of the Audit Committee (22 Nov 2017 to 12 Feb 2024)
- [FCA CF] Material risk taker (6 Sep 2017 to 12 Feb 2024)
- [PRA CF] Significant risk taker or Material risk taker (6 Sep 2017 to 12 Feb 2024)
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- SMF13 Chair of the Nominations Committee (9 Dec 2019 to 18 Jan 2022)
- SMF11 Chair of the Audit Committee (9 Dec 2019 to 18 Jan 2022)
- SMF9 Chair of the Governing Body (9 Dec 2019 to 11 Dec 2021)
- CF2 Non Executive Director (17 Jan 2019 to 8 Dec 2019)
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- SMF10 Chair of the Risk Committee (7 Mar 2016 to 11 Jul 2018)
- CF2 Non Executive Director (16 May 2014 to 6 Mar 2016)
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- CF2 Non Executive Director (10 Jul 2003 to 31 Oct 2012)
Recent activity
Updates to this individual's record on the FCA register.
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