Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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HSBC UK Bank Plc
FRN 765112
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
- [FCA CF] Manager of certification employee (21 Nov 2018 to 8 Jan 2019)
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- [FCA CF] Manager of certification employee (27 May 2016 to 1 Jul 2018)
- [FCA CF] Functions requiring qualifications (27 May 2016 to 1 Jul 2018)
- CF30 Customer (1 Nov 2007 to 30 Jun 2009)
- CF22 Investment Adviser (Trainee) (28 Mar 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 11 Aug 2003)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.