Peter Moore

Last updated
3 weeks ago
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Where they hold approval

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

  • SMBC Bank International plc

    FRN 223304

    • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
    • [FCA CF] Significant management (since 23 Sep 2024)
    • [FCA CF] Manager of certification employee (since 23 Sep 2024)
    • [FCA CF] Material risk taker (since 23 Sep 2024)
    • [FCA CF] Client dealing (since 23 Sep 2024)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Material risk taker (9 Dec 2019 to 7 Oct 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2025)
    • CF30 Customer (22 Sep 2015 to 8 Dec 2019)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (25 May 2011 to 16 Jul 2015)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 27 Nov 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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