Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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EFG Private Bank Limited
FRN 144036
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 19 Apr 2024)
- [FCA CF] Functions requiring qualifications (since 19 Apr 2024)
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- [FCA CF] Manager of certification employee (3 Mar 2022 to 7 Feb 2024)
- [FCA CF] Proprietary trader (3 Aug 2020 to 31 Aug 2021)
- [FCA CF] Functions requiring qualifications (9 Sep 2019 to 7 Feb 2024)
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- [FCA CF] Client dealing (6 Jul 2016 to 3 Jan 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.