Where they hold approval

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

    • [FCA CF] Manager of certification employee (since 29 Sep 2023)
    • [FCA CF] Client dealing (since 29 Sep 2023)
    • [FCA CF] Material risk taker (since 29 Sep 2023)
    • [PRA CF] Significant risk taker or Material risk taker (since 29 Sep 2023)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Manager of certification employee (11 May 2018 to 3 Aug 2023)
    • [FCA CF] Material risk taker (2 Nov 2016 to 3 Aug 2023)
    • [FCA CF] Client dealing (2 Nov 2016 to 3 Aug 2023)
    • CF30 Customer (23 Oct 2014 to 6 Mar 2016)
    • CF21 Investment Adviser (22 Feb 2006 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 21 Feb 2006)

Recent activity

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

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