Daniel Caplan

Last updated
2 weeks ago
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Where they hold approval

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

  • Sand Grove Capital Management LLP

    FRN 629106

    • SMF27 Partner (since 11 Sep 2021)
    • SMF1 Chief Executive (since 11 Sep 2021)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [FCA CF] Material risk taker (18 Dec 2020 to 1 Jul 2021)
    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 1 Jul 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 28 Feb 2020)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Jul 2021)
    • [FCA CF] Material risk taker (7 Mar 2016 to 1 Jul 2021)
    • [FCA CF] Client dealing (7 Mar 2016 to 1 Jul 2021)
    • CF30 Customer (12 Nov 2015 to 6 Mar 2016)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Jul 2021)
    • [FCA CF] Client dealing (7 Mar 2016 to 1 Jul 2021)
    • CF30 Customer (12 Nov 2015 to 6 Mar 2016)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (1 Nov 2007 to 5 Aug 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • DB UK Bank Limited (no longer approved here)

    FRN 140848

    • CF21 Investment Adviser (1 Dec 2001 to 20 Mar 2003)

Recent activity

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

No changes recorded yet.