Antony Yates

Last updated
1 week ago
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Where they hold approval

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

  • SMBC Bank International plc

    FRN 223304

    • SMF3 Executive Director (since 22 Apr 2024)
  • Sumitomo Mitsui Banking Corporation, London Branch

    FRN 769072

    • [FCA CF] Manager of certification employee (since 22 Apr 2024)
    • [FCA CF] Significant management (since 22 Apr 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 22 Apr 2024)
    • [FCA CF] Material risk taker (since 22 Apr 2024)
    • [FCA CF] Client dealing (since 22 Apr 2024)
  • SMBC Derivative Products Limited

    FRN 172073

    • SMF9 Chair of the Governing Body (since 21 Feb 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jun 2015 to 9 Oct 2015)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 22 Oct 2010)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • SMBC Nikko Capital Markets Limited

    FRN 171935

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jun 2015 to 9 Oct 2015)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 22 Oct 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

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