Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- CF10 Compliance Oversight (1 Jan 2017 to 28 Sep 2017)
- CF11 Money Laundering Reporting (1 Jan 2017 to 28 Sep 2017)
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- CF10 Compliance Oversight (1 Jan 2017 to 28 Sep 2017)
- CF11 Money Laundering Reporting (1 Jan 2017 to 28 Sep 2017)
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- CF10 Compliance Oversight (15 Aug 2012 to 28 Sep 2017)
- CF11 Money Laundering Reporting (15 Aug 2012 to 28 Sep 2017)
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- CF11 Money Laundering Reporting (15 Aug 2012 to 28 Sep 2017)
- CF10 Compliance Oversight (15 Aug 2012 to 28 Sep 2017)
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- CF1 Director (7 Apr 2008 to 17 Mar 2009)
- CF30 Customer (1 Nov 2007 to 17 Mar 2009)
- CF10 Compliance Oversight (1 Dec 2001 to 17 Mar 2009)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF11 Money Laundering Reporting (1 Dec 2001 to 17 Mar 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.