Steven Braithwaite

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.

  • Bank of China Limited London Branch (no longer approved here)

    FRN 170910

    • [FCA CF] Manager of certification employee (31 Oct 2022 to 6 Jun 2023)
    • [FCA CF] Material risk taker (31 Oct 2022 to 6 Jun 2023)
  • RBC Investor Services Trust (no longer approved here)

    FRN 435052

    • [FCA CF] Manager of certification employee (7 Nov 2018 to 11 Jun 2020)
    • [FCA CF] Material risk taker (7 Nov 2018 to 11 Jun 2020)
    • [FCA CF] Client dealing (7 Nov 2018 to 11 Jun 2020)
    • CF29 Significant management (18 Feb 2014 to 6 Mar 2016)
    • CF30 Customer (25 Jun 2010 to 6 Mar 2016)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF21 Investment Adviser (1 Dec 2001 to 24 Jul 2006)

Recent activity

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

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