Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Feb 2004 to 28 Aug 2015)
    • CF21 Investment Adviser (9 Feb 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (9 Feb 2004 to 31 Mar 2009)
    • CF3 Chief Executive (9 Feb 2004 to 8 Dec 2019)
    • CF1 Director (9 Feb 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Feb 2004 to 28 Aug 2015)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

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

Recent activity

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

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