Where they hold approval

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

    • SMF18 Other Overall Responsibility (since 22 Apr 2024)
    • [FCA CF] Significant management (1 Oct 2021 to 8 May 2024)
    • [PRA CF] Significant risk taker or Material risk taker (26 Oct 2017 to 8 May 2024)
    • [FCA CF] Material risk taker (26 Oct 2017 to 8 May 2024)
    • [FCA CF] Manager of certification employee (7 Sep 2016 to 8 May 2024)
    • [FCA CF] Client dealing (7 Sep 2016 to 8 May 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Oct 2021)
    • [FCA CF] Significant management (since 1 Oct 2021)
    • [FCA CF] Material risk taker (since 1 Oct 2021)
    • [FCA CF] Client dealing (since 9 Jan 2018)
    • [FCA CF] Manager of certification employee (since 9 Jan 2018)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)
    • [FCA CF] Manager of certification employee (1 Jul 2021 to 31 Mar 2025)

Recent activity

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

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