Stephen Li Jen

Last updated
1 week ago
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Where they hold approval

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

  • Eurizon SLJ Capital Limited

    FRN 736926

    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (4 Jul 2016 to 8 Dec 2019)
    • CF1 Director (4 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Jul 2016 to 1 Aug 2016)
    • CF3 Chief Executive (4 Jul 2016 to 8 Dec 2019)
  • Alternatives St James LLP (no longer approved here)

    FRN 430914

    • CF4 Partner (AR) (7 Jun 2011 to 19 Oct 2011)
    • CF30 Customer (7 Jun 2011 to 19 Oct 2011)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 2 Apr 2009)
    • CF21 Investment Adviser (13 Aug 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.