Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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DB UK Bank Limited
FRN 140848
- 3. Giving personal recommendations on derivatives
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Manager of certification employee (since 4 Oct 2023)
- [FCA CF] Client dealing (since 11 Oct 2021)
- [FCA CF] Functions requiring qualifications (since 11 Oct 2021)
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- CF30 Customer (1 Jan 2016 to 6 Mar 2016)
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- CF30 Customer (26 Jul 2013 to 6 Mar 2016)
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- CF30 Customer (14 Jun 2011 to 10 Jun 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.