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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 16 Oct 2023)
- [FCA CF] Functions requiring qualifications (1 Jul 2018 to 3 Feb 2020)
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- Appointed representative dealing with clients for which they require qualification (6 Jan 2022 to 31 Jul 2023)
- CF30 Customer (31 Dec 2021 to 31 Jul 2023)
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- (2)Employed By (31 Dec 2021 to 31 Jul 2023)
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- [FCA CF] Client dealing (16 Mar 2020 to 10 Aug 2021)
- [FCA CF] Functions requiring qualifications (16 Mar 2020 to 10 Aug 2021)
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- [FCA CF] Functions requiring qualifications (6 Jun 2016 to 1 Jul 2018)
- CF30 Customer (14 Mar 2014 to 6 Mar 2016)
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- CF30 Customer (11 May 2012 to 30 Jan 2014)
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- (506)Employed By (11 May 2012 to 30 Jan 2014)
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- CF30 Customer (2 Feb 2011 to 11 Mar 2012)
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- CF4 Partner (AR) (13 Jul 2006 to 30 Jul 2007)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Antony David Earley
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controlled function added: (2)Employed By at Antony David Earley