Where they hold approval

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

    • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2025)
    • [FCA CF] Material risk taker (since 28 Aug 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 28 Aug 2024)
    • [FCA CF] Algorithmic trading (since 1 Aug 2023)
    • [FCA CF] Client dealing (since 1 Aug 2023)
    • [FCA CF] Manager of certification employee (1 Aug 2023 to 29 Feb 2024)
  • BMO Capital Markets Limited (no longer approved here)

    FRN 170937

    • [FCA CF] Client dealing (17 Dec 2021 to 14 Apr 2023)
    • [FCA CF] Material risk taker (1 Dec 2021 to 14 Apr 2023)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Algorithmic trading (7 Sep 2016 to 30 Jun 2017)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Jun 2017)
    • [FCA CF] Client dealing (7 Mar 2016 to 30 Jun 2017)
    • CF30 Customer (1 Jul 2008 to 6 Mar 2016)
  • TD Execution Services Limited (no longer approved here)

    FRN 472780

    • CF26 Customer Trading
    • CF30 Customer (22 Jan 2008 to 20 Jun 2008)
  • ING Bank N.V. (no longer approved here)

    FRN 124940

    • CF21 Investment Adviser (2 Mar 2006 to 17 Jul 2006)
  • PERSHING SECURITIES LIMITED (no longer approved here)

    FRN 146576

    • CF26 Customer Trading (12 Oct 2004 to 20 Jan 2006)

Recent activity

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

No changes recorded yet.