Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SMG Financial Management Limited
FRN 417734
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 12 Feb 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Feb 2024)
- Responsible for Insurance Distribution (1 Oct 2018 to 12 Feb 2024)
- CF1 Director (AR) (31 Mar 2008 to 6 Nov 2009)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (19 Apr 2005 to 31 Mar 2009)
- CF10 Compliance Oversight (19 Apr 2005 to 8 Dec 2019)
- CF11 Money Laundering Reporting (19 Apr 2005 to 8 Dec 2019)
- CF21 Investment Adviser (19 Apr 2005 to 31 Oct 2007)
- CF1 Director (19 Apr 2005 to 8 Dec 2019)
- Responsible for Insurance Mediation (19 Apr 2005 to 30 Sep 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.