Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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HSBC UK Bank Plc
FRN 765112
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
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- [FCA CF] Functions requiring qualifications (27 Apr 2016 to 1 Jul 2018)
- CF30 Customer (6 May 2015 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 21 Aug 2013)
- CF22 Investment Adviser (Trainee) (5 Aug 2004 to 15 Sep 2005)
- CF21 Investment Adviser (28 Jan 2002 to 26 Jul 2003)
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- CF21 Investment Adviser (28 Jan 2002 to 30 Aug 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.