Simon Oakes

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.

  • UBS AG

    FRN 186958

    • [FCA CF] Manager of certification employee (since 11 Nov 2025)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Aug 2024)
    • [FCA CF] Material risk taker (since 1 Aug 2024)
    • [FCA CF] Client dealing (since 15 Feb 2024)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • [FCA CF] Manager of certification employee (6 Nov 2023 to 2 Jan 2025)
    • [PRA CF] Significant risk taker or Material risk taker (23 May 2022 to 2 Jan 2025)
    • [FCA CF] Material risk taker (16 Jul 2020 to 31 Dec 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 2 Jan 2025)
    • CF30 Customer (28 Sep 2009 to 6 Mar 2016)

Recent activity

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

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