Christopher Applin

Last updated
5 days ago
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Where they hold approval

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

  • UBS AG

    FRN 186958

    • 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
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Functions requiring qualifications (since 14 Nov 2023)
  • Mirabaud & Cie (Europe) S.A. (UK branch) (no longer approved here)

    FRN 984831

    • [FCA CF] Functions requiring qualifications (10 Jul 2023 to 10 Nov 2023)
    • [FCA CF] Material risk taker (10 Jul 2023 to 10 Nov 2023)
    • [FCA CF] Manager of certification employee (10 Jul 2023 to 10 Nov 2023)
    • [FCA CF] Client dealing (10 Jul 2023 to 10 Nov 2023)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (3 Dec 2013 to 6 Mar 2016)
  • Arbor Research & Trading UK Limited (no longer approved here)

    FRN 190012

    • CF30 Customer (24 Sep 2012 to 8 Nov 2013)

Recent activity

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

No changes recorded yet.