Where they hold approval

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

  • UBS AG

    FRN 186958

    • [PRA CF] Significant risk taker or Material risk taker (since 6 Oct 2020)
    • [FCA CF] Material risk taker (since 6 Oct 2020)
    • [FCA CF] Client dealing (since 27 May 2020)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • [FCA CF] Client dealing (12 Nov 2018 to 22 May 2020)
    • [FCA CF] Material risk taker (12 Nov 2018 to 22 May 2020)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (7 Sep 2012 to 6 Mar 2016)
  • Societe Generale (no longer approved here)

    FRN 124866

    • CF30 Customer (10 Sep 2009 to 22 Jun 2012)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF30 Customer (11 May 2009 to 10 Jul 2009)

Recent activity

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

No changes recorded yet.