Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Mar 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 9 Mar 2021)
- CF29 Significant management (7 Feb 2018 to 20 Feb 2018)
- CF11 Money Laundering Reporting (24 Jul 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (24 Jul 2014 to 8 Dec 2019)
- CF28 Systems and controls (19 Sep 2013 to 8 Dec 2019)
- CF30 Customer (7 Jun 2013 to 8 Dec 2019)
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- CF11 Money Laundering Reporting (22 Jun 2012 to 11 Dec 2012)
- CF10 Compliance Oversight (22 Jun 2012 to 11 Dec 2012)
- CF30 Customer (1 Nov 2007 to 11 Dec 2012)
- Responsible for Insurance Mediation (14 Jan 2005 to 11 Dec 2012)
- CF8 Apportionment and Oversight (9 Nov 2004 to 31 Oct 2007)
- CF3 Chief Executive (9 Nov 2004 to 11 Dec 2012)
- CF1 Director (7 May 2004 to 11 Dec 2012)
- CF27 Investment Management (10 Mar 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.