Where they hold approval

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

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Oct 2023)
    • SMF16 Compliance Oversight (since 27 Oct 2023)
    • [PRA CF] Key function holder (since 1 Oct 2020)
    • [FCA CF] Significant management (since 1 Oct 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (26 Nov 2013 to 8 Dec 2019)
    • CF1 Director (26 Nov 2013 to 8 Dec 2019)
    • CF3 Chief Executive (26 Nov 2013 to 8 Dec 2019)
  • CAL Investments Limited (no longer approved here)

    FRN 114008

    • CF30 Customer (12 May 2010 to 20 Jun 2016)
  • Sculptor Capital Management Europe Limited (no longer approved here)

    FRN 190662

    • CF30 Customer (1 Nov 2007 to 9 Feb 2009)
    • CF27 Investment Management (1 Jul 2007 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 24 May 2002)

Recent activity

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

No changes recorded yet.