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 1 Nov 2023)
- [FCA CF] Manager of certification employee (since 19 Oct 2023)
- [FCA CF] Client dealing (since 15 Sep 2023)
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- [FCA CF] Algorithmic trading (13 Apr 2022 to 11 Sep 2023)
- [PRA CF] Significant risk taker or Material risk taker (19 Oct 2020 to 11 Sep 2023)
- [PRA CF] Managing a material risk taker (19 Oct 2020 to 11 Sep 2023)
- [FCA CF] Client dealing (19 Oct 2020 to 11 Sep 2023)
- [FCA CF] Manager of certification employee (19 Oct 2020 to 11 Sep 2023)
- [FCA CF] Material risk taker (19 Oct 2020 to 11 Sep 2023)
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- CF30 Customer (15 Jul 2011 to 28 Sep 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.