Charles Harris

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.

  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • [FCA CF] Manager of certification employee (18 Mar 2020 to 15 Mar 2024)
    • [FCA CF] Client dealing (20 Mar 2019 to 17 Mar 2024)
    • CF30 Customer (22 Jun 2010 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • [FCA CF] Client dealing (20 Mar 2019 to 9 Dec 2019)
    • CF30 Customer (26 Aug 2010 to 6 Mar 2016)
  • Lloyds Bank Corporate Markets Plc (no longer approved here)

    FRN 763256

    • [FCA CF] Client dealing (1 Aug 2017 to 13 Mar 2019)
    • [PRA CF] Significant risk taker or Material risk taker (1 Aug 2017 to 13 Mar 2019)
    • [FCA CF] Material risk taker (1 Aug 2017 to 13 Mar 2019)
    • [FCA CF] Manager of certification employee (1 Aug 2017 to 13 Mar 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (24 Aug 2009 to 9 Jun 2010)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 19 Aug 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.