Sarah Clare Cummings

Last updated
1 week ago
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Where they hold approval

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

  • Northern Trust Global Services SE (no longer approved here)

    FRN 829966

    • [FCA CF] Client dealing (7 Apr 2020 to 30 Apr 2020)
    • [FCA CF] Proprietary trader (1 Mar 2020 to 30 Apr 2020)
    • [FCA CF] Manager of certification employee (1 Mar 2019 to 30 Apr 2020)
    • [FCA CF] Significant management (1 Mar 2019 to 1 Feb 2023)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • [FCA CF] Proprietary trader (1 Mar 2020 to 30 Apr 2020)
    • [FCA CF] Manager of certification employee (1 Mar 2019 to 30 Apr 2020)
    • [FCA CF] Client dealing (2 Jul 2018 to 1 May 2020)
    • [FCA CF] Significant management (7 Mar 2017 to 8 Sep 2017)
    • CF29 Significant management (27 Feb 2013 to 6 Mar 2016)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF30 Customer (1 Nov 2007 to 25 Jul 2012)
    • CF26 Customer Trading (4 Feb 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.