Charles Hoffman

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.

  • HSBC Bank Plc

    FRN 114216

    • 13. Giving personal recommendations on and dealing with derivatives
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [PRA CF] Significant risk taker or Material risk taker (since 11 Jan 2019)
    • [FCA CF] Functions requiring qualifications (since 14 Jan 2018)
    • [PRA CF] Significant risk taker or Material risk taker (14 Jan 2018 to 3 Jul 2018)
    • [FCA CF] Manager of certification employee (14 Jan 2018 to 4 Jul 2018)
  • HSBC UK Bank Plc

    FRN 765112

    • 12. Giving personal recommendations on and dealing in 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
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
    • [FCA CF] Manager of certification employee (since 1 Jul 2018)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Jul 2018)

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

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