Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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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)
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- [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.
No changes recorded yet.