Where they hold approval

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

    • [FCA CF] Material risk taker (since 7 Oct 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
    • [FCA CF] Client dealing (since 23 Sep 2024)
    • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Material risk taker (1 Jul 2024 to 31 Mar 2025)
    • [FCA CF] Client dealing (16 Jun 2023 to 31 Mar 2025)
    • [FCA CF] Manager of certification employee (16 Jun 2023 to 31 Mar 2025)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF21 Investment Adviser (1 Dec 2001 to 4 Oct 2004)

Recent activity

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

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