Approved Individuals
No current approved individuals
History
| Controlled Function | Controlled Function Status | Date Of Status |
|---|---|---|
| 00556 - Besiso, Mohamed Nayef omar Nur El-Din | ||
| Senior Executive Function | Withdrawn | 15/02/2010 |
| Withdrawn - termination by the authorised firm due to alleged gross misconduct | 15/02/2010 | |
| Approved | 17/12/2008 | |
| Customer Facing Function-Advising on Investments | Withdrawn | 15/02/2010 |
| Withdrawn - termination by the authorised firm due to alleged gross misconduct | 15/02/2010 | |
| Approved | 17/12/2008 | |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn | 15/02/2010 |
| Withdrawn - termination by the authorised firm due to alleged gross misconduct | 15/02/2010 | |
| Approved | 17/12/2008 | |
| 00557 - Kaneko, Kinji | ||
| Senior Management Function | Withdrawn | 17/08/2011 |
| Approved | 17/12/2008 | |
| 00558 - Keith, Simon Patrick Kendall | ||
| Compliance Oversight Function | Withdrawn | 12/09/2011 |
| Approved | 02/03/2011 | |
| Risk Management Function | Withdrawn | 12/09/2011 |
| Approved | 17/12/2008 | |
| MLRO Function | Withdrawn | 12/09/2011 |
| Approved | 02/03/2011 | |
| 00559 - Mizukami, Junichiro | ||
| Customer Facing Function-Advising on Investments | Withdrawn | 16/05/2010 |
| Approved | 17/12/2008 | |
| Customer Facing Function-Arranging Deals in Investments | Withdrawn | 16/05/2010 |
| Approved | 17/12/2008 | |
| 00560 - Withnell, David Mark | ||
| Compliance Oversight Function | Withdrawn | 02/03/2011 |
| Approved | 17/12/2008 | |
| MLRO Function | Withdrawn | 02/03/2011 |
| Approved | 17/12/2008 | |
| 00561 - Yamazaki, Hideo | ||
| Finance Function | Withdrawn | 06/07/2010 |
| Approved | 17/12/2008 | |
| 00655 - Devasia, Thomas | ||
| Senior Executive Function | Withdrawn | 30/09/2013 |
| Approved | 10/03/2010 | |
| Customer Facing Function-Insurance Mediation | Withdrawn | 30/09/2013 |
| Approved | 01/09/2009 | |
| 00789 - Slater, Andrew Edward | ||
| Finance Function | Withdrawn | 20/08/2014 |
| Approved | 06/07/2010 | |
| 01023 - Smith, Darren Jeffrey Sean | ||
| MLRO Function | Withdrawn | 20/08/2014 |
| Approved | 25/10/2011 | |
| 01036 - Pearce, Philip Richard | ||
| Compliance Oversight Function | Withdrawn | 20/08/2014 |
| Approved | 01/11/2011 | |
| 01037 - Casement, David Alexander | ||
| Risk Management Function | Withdrawn | 20/08/2014 |
| Approved | 01/11/2011 | |
| 01309 - Miyake, Mitsuteru | ||
| Senior Executive Function | Withdrawn | 20/08/2014 |
| Approved | 08/10/2013 | |
