Simon James Morgan

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.

  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Material risk taker (7 Jul 2025 to 10 Apr 2026)
    • [FCA CF] Client dealing (7 Jul 2025 to 10 Apr 2026)
    • [FCA CF] Significant management (27 Apr 2023 to 3 May 2024)
    • [FCA CF] Manager of certification employee (31 Jul 2018 to 3 May 2024)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Significant management (27 Apr 2023 to 3 May 2024)
    • [FCA CF] Client dealing (6 Apr 2021 to 3 May 2024)
    • [FCA CF] Material risk taker (13 Nov 2019 to 3 May 2024)
    • [FCA CF] Manager of certification employee (16 Aug 2018 to 3 May 2024)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (13 Jul 2010 to 30 Jul 2012)

Recent activity

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

No changes recorded yet.