Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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EFG Private Bank Limited
FRN 144036
- 14. Managing investments
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 4 Apr 2024)
- [FCA CF] Functions requiring qualifications (since 4 Apr 2024)
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- [FCA CF] Manager of certification employee (9 Sep 2019 to 9 Jun 2022)
- [FCA CF] Functions requiring qualifications (9 Sep 2019 to 29 Nov 2023)
- CF30 Customer (25 Jul 2008 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 25 Apr 2008)
- CF21 Investment Adviser (5 Jan 2007 to 31 Oct 2007)
- CF27 Investment Management (5 Jan 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (12 Dec 2001 to 12 Dec 2001)
- CF27 Investment Management (1 Dec 2001 to 17 Dec 2001)
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- CF27 Investment Management (12 Dec 2001 to 31 Jan 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.