Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [PRA CF] Managing a material risk taker (since 4 Mar 2026)
- [FCA CF] Manager of certification employee (since 19 Jul 2021)
- [FCA CF] Material risk taker (since 15 Jul 2021)
- [PRA CF] Significant risk taker or Material risk taker (since 15 Jul 2021)
- [FCA CF] Client dealing (since 15 Jul 2021)
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- [FCA CF] Material risk taker (26 Sep 2024 to 3 Jan 2025)
- [FCA CF] Client dealing (7 Mar 2016 to 23 Apr 2021)
- [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 10 Jul 2021)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (17 Aug 2006 to 31 Oct 2007)
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- CF21 Investment Adviser (4 Jan 2005 to 4 May 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.