Lee Guy

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.

  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • [FCA CF] Significant management (7 May 2020 to 7 Aug 2023)
    • [FCA CF] Manager of certification employee (7 May 2020 to 7 Aug 2023)
    • [FCA CF] Material risk taker (7 May 2020 to 7 Aug 2023)
    • SMF4 Chief Risk (7 Mar 2016 to 6 May 2020)
    • CF28 Systems and controls (20 Nov 2014 to 6 Mar 2016)
    • CF1 Director (20 Nov 2014 to 6 Mar 2016)
  • Morgan Stanley Bank International Limited (no longer approved here)

    FRN 195430

    • [FCA CF] Manager of certification employee (7 May 2020 to 7 Aug 2023)
    • [FCA CF] Significant management (7 May 2020 to 7 Aug 2023)
    • [FCA CF] Material risk taker (7 May 2020 to 7 Aug 2023)
    • SMF4 Chief Risk (7 Mar 2016 to 6 May 2020)
    • CF1 Director (20 Nov 2014 to 6 Mar 2016)
    • CF28 Systems and controls (20 Nov 2014 to 6 Mar 2016)
  • Morgan Stanley Investment Management (ACD) Limited (no longer approved here)

    FRN 230885

    • [FCA CF] Significant management (7 Mar 2020 to 6 May 2020)
    • [FCA CF] Manager of certification employee (7 Mar 2020 to 6 May 2020)
    • CF28 Systems and controls (17 May 2019 to 8 Dec 2019)
  • Morgan Stanley Investment Management Limited (no longer approved here)

    FRN 121920

    • SMF4 Chief Risk (9 Dec 2019 to 6 May 2020)
    • CF28 Systems and controls (17 May 2019 to 8 Dec 2019)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF28 Systems and controls (8 Jan 2008 to 20 Mar 2014)

Recent activity

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

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