Simon Francis

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.

  • JEFFERIES INTERNATIONAL LIMITED

    FRN 139253

    • [FCA CF] Client dealing (since 2 Oct 2024)
    • [FCA CF] Significant management (since 2 Oct 2024)
    • [FCA CF] Material risk taker (since 2 Oct 2024)
    • [FCA CF] Manager of certification employee (since 2 Oct 2024)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • [FCA CF] Material risk taker (18 Dec 2020 to 9 Feb 2024)
    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 9 Feb 2024)
    • [FCA CF] Significant management (7 Sep 2020 to 9 Feb 2024)
    • [FCA CF] Client dealing (25 Jul 2017 to 9 Feb 2024)
    • [FCA CF] Manager of certification employee (25 Jul 2017 to 9 Feb 2024)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 9 Feb 2024)
    • [FCA CF] Material risk taker (18 Dec 2020 to 9 Feb 2024)
    • [FCA CF] Significant management (7 Sep 2020 to 9 Feb 2024)
    • [FCA CF] Client dealing (25 Jul 2017 to 9 Feb 2024)
    • [FCA CF] Manager of certification employee (25 Jul 2017 to 9 Feb 2024)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • [FCA CF] Significant management (7 Sep 2020 to 9 Feb 2024)
    • [PRA CF] Significant risk taker or Material risk taker (15 Dec 2017 to 9 Feb 2024)
    • [FCA CF] Material risk taker (15 Dec 2017 to 9 Feb 2024)
    • [FCA CF] Client dealing (25 Jul 2017 to 9 Feb 2024)
    • [FCA CF] Manager of certification employee (25 Jul 2017 to 9 Feb 2024)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (21 Jun 2005 to 31 Oct 2007)

Recent activity

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

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