Raphael Shield

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.

  • UBS AG

    FRN 186958

    • [FCA CF] Client dealing (since 21 Aug 2025)
  • Daiwa Capital Markets Europe Limited (no longer approved here)

    FRN 124490

    • [FCA CF] Client dealing (7 Jun 2024 to 8 May 2025)
  • Novate Global Markets Limited (no longer approved here)

    FRN 124624

    • (578)[FCA CF] Significant management (25 Aug 2022 to 27 Mar 2024)
    • (576)[FCA CF] Material risk taker (31 Mar 2021 to 27 Mar 2024)
    • (577)[FCA CF] Manager of certification employee (26 Aug 2020 to 27 Mar 2024)
    • (575)[FCA CF] Client dealing (26 Aug 2020 to 27 Mar 2024)
    • (574)CF30 Customer (4 Oct 2010 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (574)CF30 Customer at Novate Global Markets Limited

  2. controlled function added: (575)[FCA CF] Client dealing at Novate Global Markets Limited

  3. controlled function added: (576)[FCA CF] Material risk taker at Novate Global Markets Limited

  4. controlled function added: (577)[FCA CF] Manager of certification employee at Novate Global Markets Limited

  5. controlled function added: (578)[FCA CF] Significant management at Novate Global Markets Limited