Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [FCA CF] Material risk taker (since 28 Feb 2024)
- [PRA CF] Significant risk taker or Material risk taker (since 28 Feb 2024)
- [FCA CF] Manager of certification employee (since 31 Jan 2024)
- [FCA CF] Client dealing (since 17 Nov 2023)
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- [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 19 Nov 2023)
- [PRA CF] Managing a material risk taker (7 Mar 2016 to 19 Nov 2023)
- [FCA CF] Client dealing (7 Mar 2016 to 19 Nov 2023)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 19 Nov 2023)
- [FCA CF] Material risk taker (7 Mar 2016 to 19 Nov 2023)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (15 Nov 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.