Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
HSBC UK Bank Plc
FRN 765112
- 3. Giving personal recommendations on derivatives
- 13. Giving personal recommendations on and dealing with derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 6 Jan 2026)
-
- [FCA CF] Functions requiring qualifications (19 Apr 2022 to 23 Sep 2025)
- [FCA CF] Client dealing (19 Apr 2022 to 23 Sep 2025)
-
- [FCA CF] Functions requiring qualifications (5 Jul 2017 to 1 Feb 2021)
-
- CF30 Customer (1 Nov 2007 to 20 Dec 2012)
- CF21 Investment Adviser (12 Mar 2007 to 31 Oct 2007)
-
- CF3 Chief Executive (4 Feb 2004 to 30 Nov 2006)
- CF21 Investment Adviser (4 Feb 2004 to 30 Nov 2006)
- CF10 Compliance Oversight (4 Feb 2004 to 30 Nov 2006)
- CF1 Director (4 Feb 2004 to 30 Nov 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.