Where they hold approval

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

  • HSBC Bank Plc

    FRN 114216

    • [FCA CF] Significant management (since 24 Dec 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 6 Oct 2021)
    • [FCA CF] Manager of certification employee (9 Sep 2022 to 12 Feb 2024)
    • [PRA CF] Managing a material risk taker (19 Aug 2022 to 28 Feb 2024)
    • [FCA CF] Significant management (since 24 Dec 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 6 Oct 2021)
    • [PRA CF] Managing a material risk taker (15 Aug 2023 to 28 Feb 2024)
    • [FCA CF] Manager of certification employee (15 Aug 2022 to 12 Feb 2024)
  • HSBC Asset Management (Fund Services UK) Limited (no longer approved here)

    FRN 974977

    • Director of firm who is not a certification employee or a SMF manager (6 Oct 2023 to 25 Oct 2023)
  • DB UK Bank Limited (no longer approved here)

    FRN 140848

    • SMF16 Compliance Oversight (29 Mar 2017 to 4 Mar 2021)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 1 Dec 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.