JAMES KOK LIANG YAU

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Rothesay Life Plc

    FRN 466067

    • [FCA CF] Client dealing (since 10 Dec 2019)
    • [FCA CF] Manager of certification employee (since 10 Dec 2019)
    • [FCA CF] Significant management (since 10 Dec 2019)
    • CF30 Customer (26 Feb 2018 to 9 Dec 2018)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 4 May 2012)
    • CF21 Investment Adviser (10 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.