Where they hold approval

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

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (15 Nov 2018 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (23 Oct 2009 to 30 Jun 2010)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF30 Customer (9 May 2008 to 6 Mar 2016)
    • CF27 Investment Management (1 Dec 2001 to 30 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2007)

Recent activity

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

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