Shuji Umabayashi

Watch for changes

Where they hold approval

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

Mitsubishi UFJ Trust and Banking Corporation (no longer approved here)
FRN 124708
- Director of firm who is not a certification employee or a SMF manager (1 Apr 2021 to 1 Apr 2025)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (294)CF1 Director (6 Jun 2011 to 15 May 2013)
- (293)CF21 Investment Adviser (1 Dec 2001 to 29 Mar 2004)

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

1 day ago
controlled function added: (293)CF21 Investment Adviser at Novate Global Markets Limited
1 day ago
controlled function added: (294)CF1 Director at Novate Global Markets Limited

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.