Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS Asset Management (UK) Ltd
FRN 119319
- SMF18 Other Overall Responsibility (since 12 Feb 2026)
- [FCA CF] Material risk taker (14 Jan 2026 to 12 Feb 2026)
- [FCA CF] Client dealing (22 Sep 2025 to 12 Feb 2026)
- [FCA CF] Manager of certification employee (22 Sep 2025 to 12 Feb 2026)
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UBS Asset Management Life Ltd
FRN 186527
- [PRA CF] Significant risk taker or Material risk taker (since 14 Jan 2026)
- [FCA CF] Material risk taker (since 14 Jan 2026)
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- [FCA CF] Client dealing (14 Apr 2025 to 4 Jul 2025)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 7 May 2021)
- CF30 Customer (16 Aug 2017 to 8 Dec 2019)
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- [FCA CF] Manager of certification employee (13 Jul 2016 to 23 Oct 2017)
- [FCA CF] Client dealing (7 Mar 2016 to 23 Oct 2017)
- CF30 Customer (27 Jan 2016 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 13 Feb 2013)
- CF21 Investment Adviser (13 Dec 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.