Andrew James Thompson

Last updated
2 weeks ago
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Where they hold approval

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

  • Union Bancaire Privée (UK) Limited

    FRN 119250

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • [FCA CF] Material risk taker (since 1 Jan 2023)
    • [FCA CF] Client dealing (since 31 Jan 2019)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • SMF18 Other Overall Responsibility (4 Aug 2020 to 6 Feb 2021)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
    • CF27 Investment Management (2 Apr 2007 to 31 Oct 2007)

Recent activity

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

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