Where they hold approval

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

  • ARBION LIMITED

    FRN 513138

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 13. Giving personal recommendations on and dealing with derivatives
    • SMF3 Executive Director (since 22 Feb 2023)
    • [FCA CF] Material risk taker (since 24 Oct 2022)
    • [FCA CF] Client dealing (since 24 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 24 Oct 2022)
  • Union Bancaire Privee, UBP SA (no longer approved here)

    FRN 147562

    • [FCA CF] Material risk taker (9 Sep 2019 to 8 Feb 2022)
    • [FCA CF] Client dealing (9 Sep 2019 to 17 Jun 2022)
    • [PRA CF] Key function holder (9 Sep 2019 to 8 Feb 2022)
    • [FCA CF] Significant management (9 Sep 2019 to 8 Feb 2022)
    • SMF22 Other Local Responsibility (3 May 2019 to 1 May 2021)
    • [FCA CF] Functions requiring qualifications (1 Jan 2019 to 17 Jun 2022)

Recent activity

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

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