Where they hold approval

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

    • [FCA CF] Significant management (since 1 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (14 May 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 May 2015 to 8 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (14 May 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 May 2015 to 8 Dec 2019)
  • J.P. MORGAN PERSONAL INVESTING LIMITED (no longer approved here)

    FRN 552016

    • CF10 Compliance Oversight (1 Sep 2014 to 2 Feb 2015)
    • CF11 Money Laundering Reporting (13 Dec 2012 to 3 Oct 2013)
  • PineBridge Investments Europe Limited (no longer approved here)

    FRN 122531

    • CF11 Money Laundering Reporting (4 Dec 2009 to 16 Nov 2012)
    • CF10 Compliance Oversight (4 Dec 2009 to 16 Nov 2012)

Recent activity

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

No changes recorded yet.