Shigehiro Kataoka

Watch for changes

Where they hold approval

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

SMBC Bank International plc
FRN 223304
- [FCA CF] Client dealing (since 23 Sep 2024)
SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- [FCA CF] Client dealing (28 Jul 2021 to 31 Mar 2025)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2020)
- [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2020)
- CF30 Customer (2 Jul 2015 to 8 Dec 2019)
Tokai Tokyo Securities Europe Limited (no longer approved here)
FRN 460061
- CF30 Customer (4 Jun 2010 to 15 Jun 2015)
Mizuho International plc (no longer approved here)
FRN 119256
- CF30 Customer (1 Nov 2007 to 8 Apr 2010)
- CF21 Investment Adviser (10 Oct 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (12 Apr 2005 to 10 Oct 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.