Shaun Barlow

Last updated
2 weeks ago
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Where they hold approval

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

  • UBS AG

    FRN 186958

    • [PRA CF] Managing a material risk taker (since 10 Jan 2023)
    • [FCA CF] Manager of certification employee (since 15 Dec 2022)
    • [FCA CF] Material risk taker (since 1 Nov 2022)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2022)
    • [FCA CF] Client dealing (since 1 Nov 2022)
  • The Seaport Group Europe LLP (no longer approved here)

    FRN 526965

    • [FCA CF] Manager of certification employee (15 Jun 2020 to 9 Sep 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2022)
    • CF30 Customer (4 Oct 2019 to 8 Dec 2019)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (3 Sep 2014 to 6 Mar 2016)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (18 Sep 2012 to 19 Aug 2014)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (18 Sep 2012 to 19 Aug 2014)

Recent activity

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

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