Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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HSBC UK Bank Plc
FRN 765112
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 3. Giving personal recommendations on derivatives
- [FCA CF] Manager of certification employee (since 16 May 2022)
- [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
- [FCA CF] Manager of certification employee (11 Jul 2018 to 4 Feb 2021)
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- CF30 Customer (31 Mar 2011 to 6 Mar 2016)
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- CF30 Customer (24 Aug 2009 to 15 Oct 2010)
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- CF30 Customer (10 Jan 2008 to 15 Oct 2010)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.