Benjamin David Rothberg

Watch for changes

Where they hold approval

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

Arini Capital Management Limited
FRN 1004205
- [FCA CF] Client dealing (since 1 Oct 2024)
- [FCA CF] Material risk taker (since 1 Oct 2024)
Squarepoint Capital LLP (no longer approved here)
FRN 627994
- [FCA CF] Client dealing (20 Sep 2024 to 30 Sep 2024)
Five Arrows Managers LLP (no longer approved here)
FRN 216145
- [FCA CF] Client dealing (18 Jan 2021 to 28 Jul 2023)
- CF30 Customer (12 Nov 2016 to 8 Dec 2019)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF30 Customer (10 Nov 2016 to 9 Nov 2017)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.