Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- SMF17 Money Laundering Reporting Officer (MLRO) (10 Dec 2018 to 28 Feb 2020)
- SMF16 Compliance Oversight (10 Dec 2018 to 28 Feb 2020)
- SMF3 Executive Director (10 Dec 2018 to 28 Feb 2020)
- CF11 Money Laundering Reporting (21 Apr 2017 to 9 Dec 2018)
- CF1 Director (21 Apr 2017 to 9 Dec 2018)
- CF10 Compliance Oversight (1 Jul 2014 to 9 Dec 2018)
-
- CF29 Significant management (1 Nov 2007 to 31 Jan 2011)
- CF20 Significant Mgt (Settlements) (23 Feb 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.