William Ha

Last updated
3 weeks ago
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Where they hold approval

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

  • Goldman Sachs International

    FRN 142888

    • 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
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 25 May 2022)
    • [FCA CF] Functions requiring qualifications (since 8 Apr 2021)
  • The Bank of New York Mellon (no longer approved here)

    FRN 122467

    • [FCA CF] Client dealing (24 Dec 2018 to 16 Oct 2020)
    • [PRA CF] Significant risk taker or Material risk taker (24 Dec 2018 to 1 Apr 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Client dealing (7 Mar 2016 to 27 Feb 2018)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Nov 2006 to 1 Aug 2007)

Recent activity

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

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