Where they hold approval

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

  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
    • CF30 Customer (30 Apr 2013 to 8 Dec 2019)
  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • CF30 Customer (15 Mar 2010 to 13 Dec 2012)
    • CF29 Significant management (6 May 2009 to 31 Mar 2010)
    • CF21 Investment Adviser (13 Sep 2006 to 22 May 2007)

Recent activity

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

No changes recorded yet.