Alexander Charles Douglas Clay

Last updated
3 weeks ago
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Where they hold approval

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

  • Rathbones Investment Management Limited

    FRN 116316

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 19 Apr 2023)
    • [FCA CF] Client dealing (since 1 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (2 Dec 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Dec 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Aug 2002 to 2 Dec 2002)
  • PREMIER FUND MANAGERS LIMITED (no longer approved here)

    FRN 143097

    • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)

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

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