Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [FCA CF] Client dealing (since 11 Jan 2021)
- [PRA CF] Significant risk taker or Material risk taker (since 11 Jan 2021)
- [FCA CF] Material risk taker (since 11 Jan 2021)
- [FCA CF] Manager of certification employee (since 11 Jan 2021)
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NatWest Markets Plc
FRN 121882
- [FCA CF] Material risk taker (since 21 Aug 2019)
- [PRA CF] Significant risk taker or Material risk taker (21 Aug 2019 to 21 Aug 2020)
- [FCA CF] Manager of certification employee (23 May 2018 to 23 Dec 2020)
- [FCA CF] Client dealing (14 Nov 2017 to 23 Dec 2020)
- CF30 Customer (1 Nov 2007 to 31 Oct 2011)
- CF21 Investment Adviser (23 Apr 2007 to 31 Oct 2007)
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- CF30 Customer (20 Jun 2013 to 30 Jun 2017)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.