Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 19 May 2020)
    • [FCA CF] Material risk taker (since 19 May 2020)
    • [PRA CF] Significant risk taker or Material risk taker (since 19 May 2020)
  • Oversea-Chinese Banking Corporation Limited (no longer approved here)

    FRN 204687

    • CF30 Customer (1 Dec 2014 to 4 Dec 2015)

Recent activity

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

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