Simon Thwaites

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.

  • Bank of America, N.A.

    FRN 124642

    • [FCA CF] Client dealing (since 23 Sep 2025)
    • [FCA CF] Material risk taker (since 23 Sep 2025)
  • Merrill Lynch International

    FRN 147150

    • [FCA CF] Client dealing (since 23 Sep 2025)
    • [FCA CF] Material risk taker (since 23 Sep 2025)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • [FCA CF] Manager of certification employee (31 Oct 2018 to 12 Jun 2025)
    • [FCA CF] Client dealing (31 Oct 2018 to 12 Jun 2025)
  • TP ICAP E&C Limited (no longer approved here)

    FRN 146880

    • CF30 Customer (4 Jun 2018 to 16 Sep 2018)
  • TP ICAP Broking Limited (no longer approved here)

    FRN 154234

    • CF30 Customer (4 Jun 2018 to 16 Sep 2018)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (19 May 2004 to 31 Oct 2007)
    • CF26 Customer Trading (26 Mar 2004 to 18 May 2004)

Recent activity

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

No changes recorded yet.