Where they hold approval

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

  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • [FCA CF] Client dealing (10 Jun 2019 to 9 Jan 2023)
    • [FCA CF] Material risk taker (10 Jun 2019 to 9 Jan 2023)
    • [PRA CF] Significant risk taker or Material risk taker (10 Jun 2019 to 9 Jan 2023)
  • MUFG BANK, LTD (no longer approved here)

    FRN 139189

    • [FCA CF] Client dealing (10 Jun 2019 to 9 Jan 2023)
    • [PRA CF] Significant risk taker or Material risk taker (10 Jun 2019 to 9 Jan 2023)
    • [FCA CF] Material risk taker (10 Jun 2019 to 9 Jan 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (10 Jul 2009 to 6 Mar 2016)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (1 Nov 2007 to 22 Jan 2009)
    • CF21 Investment Adviser (28 Jul 2004 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 25 Jul 2004)

Recent activity

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

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