Where they hold approval

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

  • SMBC Bank International plc (no longer approved here)

    FRN 223304

    • [FCA CF] Significant management (30 Jan 2019 to 1 Jul 2022)
    • [FCA CF] Manager of certification employee (28 Oct 2016 to 1 Jul 2022)
    • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Jul 2022)
    • [FCA CF] Material risk taker (7 Mar 2016 to 1 Jul 2022)
    • CF29 Significant management (12 Oct 2015 to 6 Mar 2016)
  • Sumitomo Mitsui Banking Corporation, London Branch (no longer approved here)

    FRN 769072

    • [FCA CF] Significant management (30 Jan 2019 to 1 Jul 2022)
    • [PRA CF] Significant risk taker or Material risk taker (9 Feb 2018 to 1 Jul 2022)
    • [FCA CF] Manager of certification employee (9 Feb 2018 to 1 Jul 2022)
    • [FCA CF] Material risk taker (9 Feb 2018 to 1 Jul 2022)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF21 Investment Adviser (1 Dec 2001 to 6 Jul 2004)
    • CF1 Director (1 Dec 2001 to 6 Jul 2004)

Recent activity

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

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