Simon Lee

Last updated
1 week ago
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Where they hold approval

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

  • Sona Asset Management (UK) LLP

    FRN 814191

    • [FCA CF] Client dealing (since 15 May 2023)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • [FCA CF] Material risk taker (18 Dec 2020 to 12 Jan 2023)
    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 12 Jan 2023)
    • [FCA CF] Manager of certification employee (15 Jun 2018 to 12 Jan 2023)
    • [FCA CF] Client dealing (7 Mar 2016 to 12 Jan 2023)
    • CF30 Customer (15 Dec 2010 to 6 Mar 2016)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [FCA CF] Material risk taker (18 Dec 2020 to 12 Jan 2023)
    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 12 Jan 2023)
    • [FCA CF] Manager of certification employee (15 Jun 2018 to 12 Jan 2023)
    • [FCA CF] Client dealing (7 Mar 2016 to 12 Jan 2023)
    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • [FCA CF] Material risk taker (27 Jan 2020 to 12 Jan 2023)
    • [PRA CF] Significant risk taker or Material risk taker (27 Jan 2020 to 12 Jan 2023)
    • [FCA CF] Manager of certification employee (15 Jun 2018 to 12 Jan 2023)
    • [FCA CF] Client dealing (7 Mar 2016 to 12 Jan 2023)
    • CF30 Customer (30 Jun 2009 to 6 Mar 2016)

Recent activity

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

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