| Controlled Function |
Controlled Function Status |
Date Of Status |
| 00695 - Cornu-Thenard, Alain Yves Marie |
| Executive Governance Function | Withdrawn | 04/07/2013 |
| Approved | 18/11/2009 |
| 00696 - Hawley, Christopher Mark Frederick |
| Senior Executive Function | Withdrawn | 22/01/2017 |
| Approved | 18/11/2009 |
| Executive Governance Function | Withdrawn | 19/04/2020 |
| Approved | 18/11/2009 |
| Customer Facing Function-Advising on Investments | Withdrawn - No longer a controlled function | 31/12/2014 |
| Approved | 18/11/2009 |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn - No longer a controlled function | 31/12/2014 |
| Approved | 18/11/2009 |
| 00697 - Helou, Mikhael |
| Non-Executive Governance Function | Withdrawn | 20/06/2010 |
| Approved | 18/11/2009 |
| Customer Facing Function-Advising on Investments | Withdrawn | 20/06/2010 |
| Approved | 18/11/2009 |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn | 20/06/2010 |
| Approved | 18/11/2009 |
| 00698 - Raffel, Andreas |
| Non-Executive Governance Function | Withdrawn | 11/06/2012 |
| Approved | 18/11/2009 |
| Customer Facing Function-Advising on Investments | Withdrawn | 11/06/2012 |
| Approved | 18/11/2009 |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn | 11/06/2012 |
| Approved | 18/11/2009 |
| 00699 - Reynolds, Paul Edward |
| Non-Executive Governance Function | Withdrawn | 04/07/2013 |
| Approved | 18/11/2009 |
| Customer Facing Function-Advising on Investments | Withdrawn | 04/07/2013 |
| Approved | 18/11/2009 |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn | 04/07/2013 |
| Approved | 18/11/2009 |
| 00700 - Westcott, Jonathan |
| Executive Governance Function | Withdrawn | 30/10/2016 |
| Approved | 18/11/2009 |
| Non-Executive Governance Function | Withdrawn | 17/03/2023 |
| Approved - Inactive Firm | 17/11/2021 |
| Compliance Oversight Function | Withdrawn | 15/07/2014 |
| Approved | 18/11/2009 |
| MLRO Function | Withdrawn | 22/09/2011 |
| Approved | 18/11/2009 |
| 00783 - Sawko, Herve Christophe |
| Non-Executive Governance Function | Withdrawn | 15/04/2012 |
| Approved | 21/06/2010 |
| Customer Facing Function-Advising on Investments | Withdrawn | 15/04/2012 |
| Approved | 21/06/2010 |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn | 15/04/2012 |
| Approved | 21/06/2010 |
| 01428 - O'Leary, Paul |
| Non-Executive Governance Function | Withdrawn | 22/03/2021 |
| Approved | 20/10/2014 |
