Tammay Nguyen

Watch for changes

Where they hold approval

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

National Australia Bank Limited
FRN 141309
- [FCA CF] Manager of certification employee (since 30 Apr 2024)
- [FCA CF] Client dealing (since 21 Jan 2020)
Commonwealth Bank of Australia (no longer approved here)
FRN 139185
- [FCA CF] Material risk taker (30 Sep 2019 to 10 Jan 2020)
- [FCA CF] Client dealing (7 Mar 2016 to 10 Jan 2020)
Westpac Banking Corporation (no longer approved here)
FRN 124586
- CF30 Customer (31 Aug 2010 to 27 Jan 2015)
RIA Capital Markets Limited (no longer approved here)
FRN 219706
- CF30 Customer (27 Oct 2009 to 2 Aug 2010)
Oppenheimer Europe Ltd. (no longer approved here)
FRN 483856
- CF30 Customer (23 Mar 2009 to 23 Oct 2009)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (1 Nov 2007 to 4 Dec 2008)
- CF21 Investment Adviser (2 Apr 2002 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.