Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- Responsibility for MCD Intermediation (21 Mar 2016 to 19 Nov 2021)
- SMF5 Head of Internal Audit (7 Mar 2016 to 4 Dec 2017)
- SMF16 Compliance Oversight (7 Mar 2016 to 19 Nov 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 19 Nov 2021)
- SMF4 Chief Risk (7 Mar 2016 to 19 Nov 2021)
- CF1 Director (11 Aug 2015 to 6 Mar 2016)
- CF10 Compliance Oversight (25 Nov 2013 to 6 Mar 2016)
- CF11 Money Laundering Reporting (25 Nov 2013 to 6 Mar 2016)
- CF28 Systems and controls (25 Nov 2013 to 6 Mar 2016)
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- CF22 Investment Adviser (Trainee) (17 Jun 2004 to 26 Nov 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.