Simon John Elliott

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.

  • Daiwa Capital Markets Europe Limited (no longer approved here)

    FRN 124490

    • [FCA CF] Client dealing (9 Dec 2019 to 17 Aug 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Aug 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 17 Aug 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (22 May 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Feb 2003 to 22 May 2003)
  • TP ICAP Markets Limited (no longer approved here)

    FRN 124520

    • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2003)

Recent activity

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

No changes recorded yet.