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] Material risk taker (since 1 Apr 2025)
- [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2025)
- [FCA CF] Manager of certification employee (since 25 Aug 2022)
- [FCA CF] Client dealing (since 25 Aug 2022)
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- [FCA CF] Manager of certification employee (since 25 Aug 2022)
- [FCA CF] Client dealing (since 25 Aug 2022)
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- [FCA CF] Material risk taker (12 Aug 2019 to 12 Nov 2021)
- [FCA CF] Client dealing (7 Sep 2016 to 17 May 2022)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 17 May 2022)
- CF30 Customer (18 Jan 2016 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2004)
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- [FCA CF] Material risk taker (12 Aug 2019 to 12 Nov 2021)
- [FCA CF] Client dealing (7 Sep 2016 to 17 May 2022)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 17 May 2022)
- CF21 Investment Adviser (30 Jan 2002 to 31 Mar 2004)
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- CF30 Customer (1 Nov 2007 to 30 Jul 2010)
- CF21 Investment Adviser (14 May 2004 to 31 Oct 2007)
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- CF30 Customer (1 Nov 2007 to 30 Jul 2010)
- CF21 Investment Adviser (14 May 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.