Last updated
3 weeks ago
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Where they hold approval

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

    • SMF16 Compliance Oversight (since 13 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Oct 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Mar 2017)
    • Responsible for Insurance Mediation (29 Mar 2017 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (27 Aug 2009 to 24 Jan 2013)
    • CF10 Compliance Oversight (27 Aug 2009 to 24 Jan 2013)
    • CF8 Apportionment and Oversight (2 Sep 2004 to 31 Mar 2009)
    • CF3 Chief Executive (2 Sep 2004 to 8 Dec 2019)
    • CF1 Director (2 Sep 2004 to 8 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Oct 2021)
    • SMF16 Compliance Oversight (since 13 Oct 2021)
    • SMF3 Executive Director (since 11 Jun 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF3 Chief Executive (25 Jun 2015 to 8 Dec 2019)
    • CF2 Non Executive Director (21 May 2002 to 25 Jun 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 21 May 2002)
    • CF1 Director (1 Dec 2001 to 21 May 2002)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 21 May 2002)
  • Kellands (Hale) Limited (no longer approved here)

    FRN 193498

    • SMF1 Chief Executive (9 Dec 2019 to 1 Jul 2021)
    • CF3 Chief Executive (14 Jul 2015 to 8 Dec 2019)

Recent activity

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

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