Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Nomura International Plc
FRN 124422
- [FCA CF] Significant management (since 20 Sep 2024)
- [FCA CF] Material risk taker (since 23 May 2023)
- [FCA CF] Manager of certification employee (since 9 Dec 2022)
- [FCA CF] Client dealing (since 9 Dec 2022)
-
Nomura Bank International Plc.
FRN 204419
- [FCA CF] Significant management (since 20 Sep 2024)
- [FCA CF] Material risk taker (since 23 May 2023)
- [FCA CF] Client dealing (since 14 Apr 2023)
- [FCA CF] Manager of certification employee (since 19 Jan 2023)
-
- [PRA CF] Significant risk taker or Material risk taker (13 Jul 2016 to 2 Jul 2019)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 7 Jul 2020)
- [FCA CF] Client dealing (7 Mar 2016 to 7 Jul 2020)
- CF30 Customer (17 Oct 2014 to 6 Mar 2016)
-
- CF30 Customer (1 Nov 2007 to 17 Jun 2014)
- CF21 Investment Adviser (19 Jul 2006 to 31 Oct 2007)
-
- CF21 Investment Adviser (1 Dec 2001 to 10 Jul 2006)
-
- CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2005)
-
- CF21 Investment Adviser (1 Dec 2001 to 10 Jul 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.