Craig Brims

Watch for changes

Where they hold approval

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

SMBC Bank International plc
FRN 223304
- [FCA CF] Significant management (since 23 Sep 2024)
- [FCA CF] Manager of certification employee (23 Sep 2024 to 10 Jan 2025)
SMBC Nikko Capital Markets Limited
FRN 171935
- [FCA CF] Significant management (since 27 Apr 2020)
- [FCA CF] Material risk taker (since 12 Feb 2020)
- [FCA CF] Manager of certification employee (12 Feb 2020 to 10 Jan 2025)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- [FCA CF] Material risk taker (9 Dec 2019 to 24 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.