Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Morgan Stanley & Co. International Plc
FRN 165935
- SMF6 Head of Key Business Areas (since 17 Jan 2023)
- [FCA CF] Manager of certification employee (since 7 Sep 2016)
- [FCA CF] Client dealing (since 7 Sep 2016)
- [FCA CF] Material risk taker (since 7 Mar 2016)
- [FCA CF] Significant management (1 Jun 2022 to 8 Mar 2023)
- CF29 Significant management (3 Aug 2009 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (8 May 2007 to 31 Oct 2007)
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Morgan Stanley Bank International Limited
FRN 195430
- SMF18 Other Overall Responsibility (since 17 Jan 2023)
- [FCA CF] Manager of certification employee (since 7 Sep 2016)
- [FCA CF] Client dealing (since 7 Sep 2016)
- [FCA CF] Material risk taker (since 7 Mar 2016)
- [FCA CF] Significant management (1 Jun 2022 to 8 Mar 2023)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.