Stephen Shaw Keys

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.

  • Cavendish Capital Markets Limited

    FRN 467766

    • [FCA CF] Material risk taker (since 9 Sep 2023)
    • [FCA CF] Client dealing (since 9 Sep 2023)
    • [FCA CF] Manager of certification employee (since 9 Sep 2023)
    • [FCA CF] Significant management (since 9 Sep 2023)
  • Cavendish Securities PLC (no longer approved here)

    FRN 416932

    • [FCA CF] Significant management (12 May 2021 to 9 Sep 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Sep 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (1 Feb 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (23 Jan 2007 to 1 Feb 2007)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF21 Investment Adviser (1 Dec 2001 to 28 Sep 2006)

Recent activity

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

No changes recorded yet.