Where they hold approval

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

    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Jan 2019)
    • [PRA CF] Key function holder (since 1 Jan 2019)
    • [FCA CF] Manager of certification employee (since 31 Aug 2017)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (22 Dec 2008 to 24 Jun 2010)

Recent activity

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

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