Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Sona Asset Management (UK) LLP
FRN 814191
- [FCA CF] Material risk taker (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF4 Partner (7 Dec 2018 to 8 Dec 2019)
- CF3 Chief Executive (7 Dec 2018 to 8 Dec 2019)
- CF30 Customer (7 Dec 2018 to 8 Dec 2019)
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- CF30 Customer (18 Aug 2016 to 31 Dec 2018)
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- CF4 Partner (1 Mar 2011 to 6 Apr 2014)
- CF30 Customer (1 Mar 2011 to 3 Apr 2014)
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- CF30 Customer (1 Nov 2007 to 9 Jun 2010)
- CF21 Investment Adviser (5 Jun 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.