Takahiro Ueno

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • SMBC Bank International plc (no longer approved here)

    FRN 223304

    • [FCA CF] Significant management (23 Sep 2024 to 2 May 2025)
    • [FCA CF] Client dealing (23 Sep 2024 to 2 May 2025)
    • [FCA CF] Manager of certification employee (23 Sep 2024 to 2 May 2025)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Significant management (21 Feb 2020 to 2 May 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 May 2025)
    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2024)
    • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
    • CF21 Investment Adviser (18 Mar 2003 to 31 Oct 2007)
  • SMBC Derivative Products Limited (no longer approved here)

    FRN 172073

    • [FCA CF] Significant management (21 Feb 2020 to 2 May 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 May 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2025)
    • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
    • CF21 Investment Adviser (18 Mar 2003 to 31 Oct 2007)
  • Sumitomo Mitsui Banking Corporation, London Branch (no longer approved here)

    FRN 769072

    • [FCA CF] Material risk taker (21 Feb 2020 to 30 Jun 2024)
    • [PRA CF] Significant risk taker or Material risk taker (21 Feb 2020 to 30 Jun 2024)
    • [FCA CF] Significant management (21 Feb 2020 to 2 May 2025)
    • [FCA CF] Client dealing (15 Jan 2020 to 2 May 2025)
    • [FCA CF] Manager of certification employee (15 Jan 2020 to 2 May 2025)

Recent activity

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

No changes recorded yet.