Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Canadian Imperial Bank of Commerce
FRN 141285
- [FCA CF] Material risk taker (since 25 Jul 2023)
- [FCA CF] Significant management (since 25 Sep 2022)
- SMF22 Other Local Responsibility (since 25 Sep 2022)
- [FCA CF] Manager of certification employee (1 Jun 2017 to 25 Sep 2022)
- [FCA CF] Client dealing (1 Jun 2017 to 25 Sep 2022)
- [FCA CF] Material risk taker (1 Jun 2017 to 25 Sep 2022)
-
- CF30 Customer (1 Nov 2007 to 5 Sep 2014)
- CF21 Investment Adviser (9 Oct 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.