Stephen James Thomas Shaw

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.

  • DWS Alternatives Global Limited (no longer approved here)

    FRN 458997

    • SMF9 Chair of the Governing Body (12 Jun 2020 to 7 Sep 2021)
    • SMF3 Executive Director (9 Dec 2019 to 8 Jan 2023)
    • CF29 Significant management (1 Nov 2007 to 8 Sep 2015)
    • CF1 Director (26 Feb 2007 to 8 Dec 2019)
    • CF16 Significant Mgt (Desgntd Investment Business) (26 Feb 2007 to 31 Oct 2007)
  • DWS Investments UK Limited (no longer approved here)

    FRN 429806

    • SMF4 Chief Risk (9 Dec 2019 to 8 Jan 2023)
    • SMF3 Executive Director (9 Dec 2019 to 8 Jan 2023)
    • CF3 Chief Executive (26 Oct 2016 to 5 Nov 2016)
    • CF29 Significant management (15 Nov 2013 to 8 Sep 2015)
    • CF1 Director (15 Nov 2013 to 8 Dec 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Material risk taker (7 Mar 2016 to 24 Nov 2017)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 6 May 2016)

Recent activity

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

No changes recorded yet.