Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Tradition (UK) Limited
FRN 139200
- SMF9 Chair of the Governing Body (since 5 Dec 2023)
- SMF10 Chair of the Risk Committee (5 Dec 2023 to 16 Apr 2024)
- SMF11 Chair of the Audit Committee (5 Dec 2023 to 16 Apr 2024)
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TRADITION FINANCIAL SERVICES LTD.
FRN 147543
- SMF9 Chair of the Governing Body (since 5 Dec 2023)
- SMF10 Chair of the Risk Committee (5 Dec 2023 to 16 Apr 2024)
- SMF11 Chair of the Audit Committee (5 Dec 2023 to 16 Apr 2024)
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TRADITION LONDON CLEARING LIMITED
FRN 190632
- SMF9 Chair of the Governing Body (since 5 Dec 2023)
- SMF10 Chair of the Risk Committee (5 Dec 2023 to 16 Apr 2024)
- SMF11 Chair of the Audit Committee (5 Dec 2023 to 16 Apr 2024)
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TFS Derivatives Limited
FRN 197244
- SMF9 Chair of the Governing Body (since 5 Dec 2023)
- SMF10 Chair of the Risk Committee (5 Dec 2023 to 16 Apr 2024)
- SMF11 Chair of the Audit Committee (5 Dec 2023 to 16 Apr 2024)
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- SMF14 Senior Independent Director (7 Dec 2022 to 12 Dec 2022)
- SMF11 Chair of the Audit Committee (5 Mar 2019 to 1 Apr 2022)
- SMF12 Chair of the Remuneration Committee (5 Mar 2019 to 1 Apr 2022)
- SMF10 Chair of the Risk Committee (19 Sep 2017 to 28 May 2019)
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- Director of firm who is not a certification employee or a SMF manager (13 Sep 2019 to 31 Dec 2019)
- SMF12 Chair of the Remuneration Committee (7 Mar 2016 to 13 Sep 2019)
- SMF14 Senior Independent Director (7 Mar 2016 to 13 Sep 2019)
- CF2 Non Executive Director (14 Oct 2011 to 6 Mar 2016)
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- SIMF10 Chair of the Risk Committee (23 Aug 2017 to 31 Aug 2018)
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- CF2 Non Executive Director (13 Jul 2016 to 31 Oct 2016)
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- CF2 Non Executive Director (13 Jul 2016 to 19 Jan 2017)
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- CF2 Non Executive Director (13 Jul 2016 to 31 Aug 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.