Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • UBS Asset Management (UK) Ltd (no longer approved here)

    FRN 119319

    • [FCA CF] Client dealing (13 Jan 2021 to 12 Jan 2022)
    • [FCA CF] Material risk taker (13 Jan 2021 to 12 Jan 2022)
    • SMF18 Other Overall Responsibility (9 Dec 2019 to 5 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 5 Nov 2020)
    • Responsible for Insurance Mediation (28 Oct 2014 to 30 Sep 2018)
    • CF29 Significant management (28 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (31 Oct 2012 to 8 Dec 2019)
  • UBS Asset Management Funds Ltd (no longer approved here)

    FRN 141661

    • [FCA CF] Client dealing (13 Jan 2021 to 12 Jan 2022)
    • [FCA CF] Material risk taker (13 Jan 2021 to 12 Jan 2022)
    • SMF18 Other Overall Responsibility (9 Dec 2019 to 5 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 5 Nov 2020)
    • CF29 Significant management (28 Oct 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Oct 2014 to 30 Sep 2018)
    • CF30 Customer (2 Jul 2014 to 8 Dec 2019)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.