Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SMBC Bank International plc
FRN 223304
- [FCA CF] Manager of certification employee (since 23 Sep 2024)
- [FCA CF] Client dealing (since 23 Sep 2024)
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SMBC Nikko Capital Markets Limited
FRN 171935
- [FCA CF] Material risk taker (since 1 Jul 2024)
- [FCA CF] Client dealing (since 19 Jan 2023)
- [FCA CF] Manager of certification employee (since 19 Jan 2023)
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SMBC Derivative Products Limited
FRN 172073
- [FCA CF] Client dealing (since 19 Jan 2023)
- [FCA CF] Manager of certification employee (since 19 Jan 2023)
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- [FCA CF] Manager of certification employee (since 19 Jan 2023)
- [FCA CF] Client dealing (since 19 Jan 2023)
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- [FCA CF] Manager of certification employee (2 Sep 2020 to 25 Nov 2020)
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- [FCA CF] Manager of certification employee (2 Nov 2016 to 25 Nov 2020)
- [FCA CF] Material risk taker (2 Nov 2016 to 25 Nov 2020)
- [FCA CF] Client dealing (2 Nov 2016 to 25 Nov 2020)
- CF30 Customer (3 Jul 2009 to 6 Mar 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.