Alan Marmion

Last updated
3 weeks ago
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Where they hold approval

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

  • Union Bancaire Privee, UBP SA

    FRN 147562

    • 13. Giving personal recommendations on and dealing with derivatives
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Material risk taker (since 15 Mar 2024)
    • [FCA CF] Functions requiring qualifications (since 15 Mar 2024)
    • [FCA CF] Client dealing (since 2 Jan 2023)
    • [FCA CF] Manager of certification employee (since 9 Sep 2019)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Manager of certification employee (1 Jan 2022 to 20 Aug 2023)
    • [FCA CF] Functions requiring qualifications (18 Sep 2018 to 20 Aug 2023)
    • [FCA CF] Client dealing (4 Sep 2017 to 20 Aug 2023)
    • CF30 Customer (2 Jun 2014 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (25 Jul 2008 to 26 Oct 2010)

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

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