Raymond Wai Ho

Watch for changes

Where they hold approval

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

NatWest Markets Plc (no longer approved here)
FRN 121882
- [FCA CF] Manager of certification employee (25 Jan 2019 to 11 Sep 2020)
- [FCA CF] Client dealing (7 Mar 2016 to 30 Sep 2020)
- CF30 Customer (10 Dec 2010 to 6 Mar 2016)
- CF26 Customer Trading (18 Nov 2005 to 17 Jan 2006)
MUFG Securities EMEA plc (no longer approved here)
FRN 124512
- CF26 Customer Trading (13 Jun 2002 to 16 Sep 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.