Yoshiko Mizuguchi

Watch for changes

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 (8 Nov 2021 to 30 Sep 2024)
Mizuho International plc (no longer approved here)
FRN 119256
- [FCA CF] Client dealing (7 Mar 2016 to 26 Jul 2021)
- CF30 Customer (19 Sep 2013 to 6 Mar 2016)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- CF30 Customer (11 Mar 2008 to 18 Jun 2013)
Shinkin International Ltd. (no longer approved here)
FRN 148967
- CF30 Customer (1 Nov 2007 to 20 Feb 2008)
- CF21 Investment Adviser (4 Oct 2004 to 31 Oct 2007)
- CF26 Customer Trading (4 Oct 2004 to 31 May 2006)
Banco Bilbao Vizcaya Argentaria SA (no longer approved here)
FRN 139228
- CF21 Investment Adviser (4 Jul 2003 to 14 May 2004)
Mizuho Bank, Ltd. (no longer approved here)
FRN 139195
- CF26 Customer Trading (17 Dec 2002 to 9 Apr 2003)
ING Bank N.V. (no longer approved here)
FRN 124940
- CF21 Investment Adviser (13 Mar 2002 to 17 Jul 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.