Mital Shah

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.

  • EFG Private Bank Limited

    FRN 144036

    • 13. Giving personal recommendations on and dealing with derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 30 Mar 2020)
  • Standard Chartered Bank (no longer approved here)

    FRN 114276

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 6 Dec 2019)
    • CF30 Customer (21 Aug 2015 to 6 Mar 2016)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (1 Nov 2007 to 1 Sep 2008)
    • CF22 Investment Adviser (Trainee) (4 Oct 2007 to 31 Oct 2007)
  • Life Insurance Corporation of India (no longer approved here)

    FRN 110379

    • CF22 Investment Adviser (Trainee) (1 Nov 2005 to 31 Jan 2006)

Recent activity

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

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