Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [PRA CF] Significant risk taker or Material risk taker (since 28 Feb 2024)
- [FCA CF] Material risk taker (since 28 Feb 2024)
- [PRA CF] Managing a material risk taker (since 14 Feb 2024)
- [FCA CF] Manager of certification employee (since 22 Nov 2023)
- [FCA CF] Client dealing (since 17 Oct 2023)
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- [FCA CF] Client dealing (2 May 2022 to 16 Oct 2023)
- [PRA CF] Significant risk taker or Material risk taker (2 May 2022 to 16 Oct 2023)
- [FCA CF] Material risk taker (2 May 2022 to 16 Oct 2023)
- [FCA CF] Manager of certification employee (2 May 2022 to 16 Oct 2023)
Recent activity
Updates to this individual's record on the FCA register.
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