Simon Anthony Roche

Last updated
3 weeks ago
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Where they hold approval

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

  • The Bank of Nova Scotia

    FRN 141308

    • [FCA CF] Manager of certification employee (since 24 Aug 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 6 Mar 2017)
    • [FCA CF] Client dealing (since 6 Mar 2017)
    • [FCA CF] Material risk taker (since 6 Mar 2017)
    • [FCA CF] Manager of certification employee (6 Mar 2017 to 1 Mar 2021)
    • CF30 Customer (20 Dec 2011 to 6 Mar 2016)
  • Daiwa Capital Markets Europe Limited (no longer approved here)

    FRN 124490

    • CF30 Customer (10 Jul 2009 to 6 Dec 2011)

Recent activity

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

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