Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SMBC Bank International plc
FRN 223304
- [FCA CF] Client dealing (since 1 Jul 2021)
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SMBC Nikko Capital Markets Limited
FRN 171935
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (14 Jun 2018 to 8 Dec 2019)
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SMBC Derivative Products Limited
FRN 172073
- [FCA CF] Client dealing (since 9 Dec 2019)
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- [FCA CF] Client dealing (since 5 Nov 2019)
- [FCA CF] Client dealing (2 Nov 2018 to 1 Nov 2019)
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- CF30 Customer (2 Jun 2008 to 30 Dec 2009)
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- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (25 Jan 2006 to 31 Oct 2007)
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- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (25 Jan 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.