Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- [FCA CF] Functions requiring qualifications (8 Sep 2023 to 19 Jul 2024)
- [FCA CF] Client dealing (8 Sep 2023 to 19 Jul 2024)
-
- [FCA CF] Functions requiring qualifications (27 Feb 2023 to 31 Aug 2023)
- [FCA CF] Client dealing (27 Feb 2023 to 31 Aug 2023)
-
- SMF16 Compliance Oversight (14 Oct 2021 to 18 Nov 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (14 Oct 2021 to 18 Nov 2022)
- SMF3 Executive Director (14 Oct 2021 to 18 Nov 2022)
- [FCA CF] Client dealing (6 Jan 2020 to 1 Nov 2022)
- [FCA CF] Functions requiring qualifications (6 Jan 2020 to 1 Nov 2022)
-
- CF30 Customer (2 Nov 2017 to 8 Dec 2019)
-
- CF30 Customer (2 Nov 2017 to 8 Dec 2019)
-
- CF30 Customer (30 Jul 2010 to 12 May 2015)
-
- CF21 Investment Adviser (1 Dec 2001 to 11 Sep 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.