John Walter Sweeney

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • SEI Investments (Europe) Ltd (no longer approved here)

    FRN 191713

    • [FCA CF] Material risk taker (15 Dec 2020 to 30 Jun 2022)
    • [FCA CF] CASS oversight function (15 Dec 2020 to 30 Jun 2022)
    • CF10a CASS Oversight function (15 Mar 2016 to 8 Dec 2019)
  • Mizuho International plc (no longer approved here)

    FRN 119256

    • CF30 Customer (4 Jan 2012 to 1 Apr 2014)
    • CF10a CASS Oversight function (24 Nov 2011 to 31 Mar 2015)
    • CF29 Significant management (1 Nov 2007 to 31 Mar 2015)
    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)

Recent activity

Updates to this individual's record on the FCA register.

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