Where they hold approval

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

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
    • SMF16 Compliance Oversight (since 10 Dec 2018)
    • CF10 Compliance Oversight (1 Nov 2018 to 9 Dec 2018)
    • SMF16 Compliance Oversight (since 10 Dec 2018)
    • CF10 Compliance Oversight (1 Nov 2018 to 9 Dec 2018)
  • Family Assurance Friendly Society Limited (no longer approved here)

    FRN 110067

    • CF10 Compliance Oversight (10 Nov 2015 to 28 Jun 2017)
    • CF11 Money Laundering Reporting (10 Nov 2015 to 28 Jun 2017)
  • Family Equity Plan Limited (no longer approved here)

    FRN 122351

    • CF11 Money Laundering Reporting (10 Nov 2015 to 28 Jun 2017)
    • CF10 Compliance Oversight (10 Nov 2015 to 28 Jun 2017)
  • Family Investment Management Limited (no longer approved here)

    FRN 122394

    • CF11 Money Laundering Reporting (10 Nov 2015 to 28 Jun 2017)
    • CF10 Compliance Oversight (10 Nov 2015 to 28 Jun 2017)
  • Engage Mutual Funds Limited (no longer approved here)

    FRN 181487

    • (225)CF10 Compliance Oversight (10 Nov 2015 to 28 Jun 2017)
    • (224)CF11 Money Laundering Reporting (10 Nov 2015 to 28 Jun 2017)
  • Canada Life Platform Limited (no longer approved here)

    FRN 598800

    • CF28 Systems and controls (29 Nov 2013 to 22 Dec 2014)
    • CF10 Compliance Oversight (29 Nov 2013 to 22 Dec 2014)
    • CF11 Money Laundering Reporting (29 Nov 2013 to 22 Dec 2014)

Recent activity

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

  1. controlled function added: (224)CF11 Money Laundering Reporting at Engage Mutual Funds Limited

  2. controlled function added: (225)CF10 Compliance Oversight at Engage Mutual Funds Limited