Where they hold approval

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

  • HSBC Bank Plc

    FRN 114216

    • [PRA CF] Significant risk taker or Material risk taker (since 29 May 2025)
    • [FCA CF] Manager of certification employee (since 15 Apr 2025)
    • [PRA CF] Managing a material risk taker (since 19 Dec 2024)
    • [FCA CF] Client dealing (since 9 Oct 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 29 May 2025)
    • [FCA CF] Manager of certification employee (since 15 Apr 2025)
    • [PRA CF] Managing a material risk taker (since 19 Dec 2024)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • [FCA CF] Significant management (26 Mar 2020 to 10 Aug 2021)
    • [FCA CF] Material risk taker (24 Feb 2017 to 18 Dec 2019)
    • [FCA CF] Manager of certification employee (24 Feb 2017 to 8 Oct 2019)
    • [FCA CF] Client dealing (24 Feb 2017 to 25 Feb 2020)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (20 Oct 2008 to 30 Jul 2013)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (21 Apr 2004 to 25 Apr 2006)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF21 Investment Adviser (1 Dec 2001 to 29 Mar 2004)

Recent activity

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

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