Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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HSBC UK Bank Plc
FRN 765112
- 3. Giving personal recommendations on derivatives
- 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
- 13. Giving personal recommendations on and dealing with derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 27 Sep 2022)
- [FCA CF] Client dealing (21 Sep 2022 to 26 Sep 2022)
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- CF30 Customer (10 Sep 2014 to 6 Mar 2016)
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- CF30 Customer (16 Dec 2010 to 19 Nov 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.