Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SMBC Bank International plc
FRN 223304
- [FCA CF] Manager of certification employee (since 23 Sep 2024)
- [FCA CF] Client dealing (since 23 Sep 2024)
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- [FCA CF] Manager of certification employee (3 Dec 2020 to 31 Mar 2025)
- [FCA CF] Material risk taker (3 Dec 2020 to 21 Feb 2023)
- [FCA CF] Client dealing (3 Dec 2020 to 31 Mar 2025)
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- CF30 Customer (21 Jan 2019 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (30 Jul 2004 to 31 Oct 2007)
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- CF21 Investment Adviser (4 Jan 2002 to 28 Jun 2004)
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- (301)CF21 Investment Adviser (1 Dec 2001 to 11 Dec 2001)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (301)CF21 Investment Adviser at Novate Global Markets Limited