Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MUFG Securities EMEA plc
FRN 124512
- [FCA CF] Significant management (since 21 Jun 2023)
- [FCA CF] Client dealing (since 6 Nov 2019)
- [FCA CF] Manager of certification employee (since 6 Nov 2019)
- [FCA CF] Material risk taker (since 6 Nov 2019)
- [PRA CF] Significant risk taker or Material risk taker (since 6 Nov 2019)
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MUFG BANK, LTD
FRN 139189
- [FCA CF] Significant management (since 21 Jun 2023)
- [FCA CF] Material risk taker (since 6 Nov 2019)
- [FCA CF] Manager of certification employee (since 6 Nov 2019)
- [FCA CF] Client dealing (since 6 Nov 2019)
- [PRA CF] Significant risk taker or Material risk taker (since 6 Nov 2019)
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- [PRA CF] Significant risk taker or Material risk taker (16 Jan 2019 to 5 Aug 2019)
- [FCA CF] Manager of certification employee (18 Dec 2018 to 5 Aug 2019)
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- [FCA CF] Manager of certification employee (16 Nov 2016 to 5 Aug 2019)
- [FCA CF] Client dealing (16 Nov 2016 to 5 Aug 2019)
- [PRA CF] Significant risk taker or Material risk taker (28 Jun 2016 to 5 Aug 2019)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (19 Sep 2002 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.