Thomas David Griffiths

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • UBS Asset Management Funds Ltd

    FRN 141661

    • SMF3 Executive Director (since 1 Sep 2025)
    • [FCA CF] Significant management (since 26 Nov 2020)
    • [FCA CF] Material risk taker (26 Nov 2020 to 20 Oct 2023)
  • UBS Asset Management Life Ltd

    FRN 186527

    • [PRA CF] Significant risk taker or Material risk taker (since 26 Nov 2020)
    • [FCA CF] Material risk taker (since 26 Nov 2020)
    • [FCA CF] Significant management (since 26 Nov 2020)
    • [PRA CF] Key function holder (since 28 Apr 2020)
  • UBS Asset Management (UK) Ltd (no longer approved here)

    FRN 119319

    • [FCA CF] Significant management (26 Nov 2020 to 31 Dec 2021)
    • [FCA CF] Material risk taker (26 Nov 2020 to 31 Dec 2021)

Recent activity

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

No changes recorded yet.