Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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CLSA (UK)
FRN 140836
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (12 Apr 2011 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
- CF13 Finance (12 Aug 2005 to 31 Oct 2007)
- CF19 Significant Mgt (Financial Resources) (12 Aug 2005 to 31 Oct 2007)
- CF20 Significant Mgt (Settlements) (2 Mar 2005 to 30 Sep 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.