Where they hold approval

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

    • 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)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • [FCA CF] Functions requiring qualifications (19 Apr 2022 to 23 Sep 2025)
    • [FCA CF] Client dealing (19 Apr 2022 to 23 Sep 2025)
  • Standard Chartered Bank (no longer approved here)

    FRN 114276

    • [FCA CF] Functions requiring qualifications (5 Jul 2017 to 1 Feb 2021)
  • Kotak Mahindra (UK) Limited (no longer approved here)

    FRN 171837

    • CF30 Customer (1 Nov 2007 to 20 Dec 2012)
    • CF21 Investment Adviser (12 Mar 2007 to 31 Oct 2007)
  • UTI International Limited (no longer approved here)

    FRN 183361

    • 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.

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