Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS Asset Management (UK) Ltd
FRN 119319
- SMF18 Other Overall Responsibility (since 24 Jun 2025)
- [FCA CF] Client dealing (since 25 Aug 2020)
- [FCA CF] Manager of certification employee (10 Jan 2023 to 24 Jun 2025)
- [FCA CF] Material risk taker (25 Aug 2020 to 24 Jun 2025)
- CF29 Significant management (1 Oct 2008 to 5 Nov 2010)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.