Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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DB UK Bank Limited
FRN 140848
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Material risk taker (since 1 Jan 2022)
- [FCA CF] Client dealing (since 1 Oct 2020)
- [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
- [FCA CF] Manager of certification employee (since 1 Oct 2020)
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- CF30 Customer (9 Apr 2015 to 6 Mar 2016)
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- CF30 Customer (8 May 2009 to 18 Mar 2015)
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- CF30 Customer (8 May 2009 to 18 Mar 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.