Iain Dominic West

Last updated
1 week ago
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Where they hold approval

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

  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (9 Jun 2004 to 21 Nov 2014)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
  • SMBC Derivative Products Limited (no longer approved here)

    FRN 172073

    • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2020)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
  • Sumitomo Mitsui Banking Corporation, London Branch (no longer approved here)

    FRN 769072

    • [FCA CF] Client dealing (1 Feb 2018 to 30 Apr 2020)
    • [FCA CF] Material risk taker (1 Feb 2018 to 30 Apr 2020)
    • [FCA CF] Manager of certification employee (1 Feb 2018 to 30 Apr 2020)
    • [PRA CF] Significant risk taker or Material risk taker (1 Feb 2018 to 30 Apr 2020)
    • [FCA CF] Significant management (1 Feb 2018 to 30 Apr 2020)

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