Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS Asset Management (UK) Ltd
FRN 119319
- [FCA CF] Material risk taker (since 20 Aug 2020)
- [FCA CF] Client dealing (since 20 Aug 2020)
- [FCA CF] Manager of certification employee (since 20 Aug 2020)
- CF30 Customer (27 Jul 2011 to 8 Dec 2019)
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UBS Asset Management Funds Ltd
FRN 141661
- [FCA CF] Material risk taker (since 20 Aug 2020)
- [FCA CF] Manager of certification employee (since 20 Aug 2020)
- [FCA CF] Client dealing (since 20 Aug 2020)
- CF30 Customer (5 Jun 2014 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 5 Dec 2007)
- CF21 Investment Adviser (31 Mar 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.