Sanjeev Sofat

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.

  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • [FCA CF] Material risk taker (24 Aug 2020 to 31 Dec 2022)
    • [PRA CF] Significant risk taker or Material risk taker (24 Aug 2020 to 31 Dec 2022)
    • [FCA CF] Client dealing (23 Mar 2016 to 31 Dec 2022)
    • [FCA CF] Manager of certification employee (23 Mar 2016 to 31 Dec 2022)
    • CF30 Customer (18 Mar 2013 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • [FCA CF] Client dealing (23 Mar 2016 to 8 Dec 2019)
    • [FCA CF] Manager of certification employee (23 Mar 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (28 Nov 2002 to 21 Aug 2006)

Recent activity

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

No changes recorded yet.