Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Morgan Stanley & Co. International Plc
FRN 165935
- [FCA CF] Client dealing (since 3 Jun 2020)
- [FCA CF] Manager of certification employee (since 3 Jun 2020)
- [FCA CF] Material risk taker (since 3 Jun 2020)
- Responsible for Insurance Distribution (1 Oct 2018 to 2 Jun 2020)
- SMF6 Head of Key Business Areas (7 Mar 2016 to 2 Jun 2020)
- Responsible for Insurance Mediation (11 Feb 2013 to 30 Sep 2018)
- CF29 Significant management (18 Feb 2010 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (30 May 2002 to 31 Oct 2007)
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Morgan Stanley Bank International Limited
FRN 195430
- [FCA CF] Material risk taker (since 3 Jun 2020)
- [FCA CF] Client dealing (since 3 Jun 2020)
- [FCA CF] Manager of certification employee (since 3 Jun 2020)
- SMF18 Other Overall Responsibility (19 Mar 2019 to 2 Jun 2020)
- SMF3 Executive Director (8 Jun 2016 to 19 Mar 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.