Shu-Ming Peng

Watch for changes

Where they hold approval

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

TD Execution Services Limited (no longer approved here)
FRN 472780
- [FCA CF] Client dealing (22 Jun 2021 to 20 Mar 2024)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- [FCA CF] Client dealing (7 Mar 2016 to 4 May 2021)
- CF30 Customer (22 Oct 2015 to 6 Mar 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (11 Oct 2013 to 20 Oct 2015)
Renaissance Capital Limited (no longer approved here)
FRN 186891
- CF30 Customer (24 Oct 2012 to 17 Jul 2013)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Nov 2007 to 9 Aug 2012)
- CF21 Investment Adviser (14 Apr 2005 to 31 Oct 2007)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF21 Investment Adviser (1 Dec 2001 to 21 Mar 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.