Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF3 Executive Director (9 Dec 2019 to 14 Feb 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 8 Nov 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Nov 2023)
- Responsible for Insurance Distribution (1 Oct 2018 to 8 Nov 2023)
- CF11 Money Laundering Reporting (30 Oct 2012 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 19 May 2008)
- CF10 Compliance Oversight (10 Sep 2003 to 1 May 2008)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
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- (2)Employed By (10 Sep 2003 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.