Stephen Ho

Last updated
2 weeks ago
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Where they hold approval

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

  • CHASE ASSET MANAGEMENT LIMITED

    FRN 520200

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 16 May 2016)
    • CF1 Director (16 May 2016 to 8 Dec 2019)
    • CF30 Customer (23 May 2011 to 8 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (1 Nov 2007 to 13 Jun 2011)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
  • Sense Financial Limited (no longer approved here)

    FRN 214827

    • (5)Employed By (3 Jul 2003 to 13 Jun 2011)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 3 Dec 2002)

Recent activity

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

No changes recorded yet.