Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [PRA CF] Significant risk taker or Material risk taker (since 12 Jun 2025)
- [FCA CF] Material risk taker (since 12 Jun 2025)
- [FCA CF] Manager of certification employee (since 11 Apr 2025)
- [FCA CF] Client dealing (since 13 Jan 2025)
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- SMF27 Partner (2 Aug 2021 to 4 Oct 2022)
- [FCA CF] Client dealing (5 Oct 2020 to 4 Oct 2022)
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- [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 12 Jun 2020)
- [FCA CF] Material risk taker (7 Mar 2016 to 12 Jun 2020)
- [FCA CF] Client dealing (7 Mar 2016 to 12 Jun 2020)
- CF30 Customer (10 Sep 2009 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 21 Jun 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.