Yumi Yamamoto

Last updated
1 week ago
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Where they hold approval

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

  • Nippon Investment Bespoke Research UK Ltd

    FRN 928332

    • [FCA CF] Client dealing (since 6 Aug 2020)
    • SMF1 Chief Executive (since 5 Aug 2020)
    • SMF16 Compliance Oversight (since 5 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2020)
    • SMF3 Executive Director (since 5 Aug 2020)
  • PROFIN PARTNERS LTD (no longer approved here)

    FRN 595504

    • CF1 Director (AR) (5 Jun 2015 to 5 Aug 2020)
    • CF30 Customer (5 Jun 2015 to 5 Aug 2020)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (1 Nov 2007 to 31 Jan 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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