Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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N. M. ROTHSCHILD & SONS LIMITED
FRN 124451
- [FCA CF] Material risk taker (since 5 Feb 2024)
- CF28 Systems and controls (19 Sep 2016 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF1 Director (19 Aug 2003 to 13 Dec 2004)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- SMF10 Chair of the Risk Committee (since 4 Dec 2023)
- [FCA CF] Material risk taker (4 Dec 2023 to 11 Dec 2025)
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- (91)SMF3 Executive Director (1 Apr 2022 to 24 Apr 2026)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: SMF3 Executive Director at Rothschild & Co Equity Markets Solutions Limited
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controlled function added: (91)SMF3 Executive Director at Rothschild & Co Equity Markets Solutions Limited