Where they hold approval

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

    • Director of firm who is not a certification employee or a SMF manager (since 4 Apr 2024)
    • [FCA CF] Client dealing (15 Sep 2020 to 5 Feb 2024)
    • SMF1 Chief Executive (15 Sep 2020 to 3 Apr 2024)
    • SMF16 Compliance Oversight (15 Sep 2020 to 3 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Sep 2020 to 3 Apr 2024)
    • SMF29 Limited scope function (limited scope SMCR firms only) (15 Sep 2020 to 3 Apr 2024)
    • SMF3 Executive Director (15 Sep 2020 to 3 Apr 2024)
  • Prytania Investment Advisors LLP (no longer approved here)

    FRN 230010

    • CF30 Customer (18 Sep 2015 to 1 Sep 2017)
  • Stenham Advisors Plc (no longer approved here)

    FRN 561672

    • CF30 Customer (5 Nov 2012 to 8 May 2013)
  • Stenham Asset Management (UK) Plc (no longer approved here)

    FRN 190748

    • CF30 Customer (18 Jul 2011 to 9 Sep 2012)
  • BlueSigma Capital Limited (no longer approved here)

    FRN 553682

    • Employed By (5 Jul 2011 to 9 Sep 2012)
  • LumX Asset Management (U.K.) Limited (no longer approved here)

    FRN 195960

    • CF30 Customer (1 Nov 2007 to 2 Dec 2009)
    • CF21 Investment Adviser (7 Jun 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.