Where they hold approval

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

    • [FCA CF] Material risk taker (since 1 Jan 2024)
    • [FCA CF] Client dealing (since 22 Dec 2022)
    • [FCA CF] Significant management (since 22 Dec 2022)
    • [FCA CF] Manager of certification employee (since 22 Dec 2022)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Material risk taker (12 Nov 2019 to 25 Oct 2022)
    • [FCA CF] Client dealing (15 Jan 2018 to 25 Oct 2022)
    • [FCA CF] Manager of certification employee (14 Dec 2017 to 25 Oct 2022)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Manager of certification employee (1 Nov 2016 to 25 Oct 2022)
    • [FCA CF] Client dealing (1 Nov 2016 to 25 Oct 2022)
    • [FCA CF] Material risk taker (1 Nov 2016 to 25 Oct 2022)
    • CF30 Customer (4 Oct 2011 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 29 Jun 2011)
    • CF21 Investment Adviser (16 Feb 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.