Brian David Rowe

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.

  • Ashmore Investment Management Limited (no longer approved here)

    FRN 185402

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Feb 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Feb 2023)
    • CF10 Compliance Oversight (20 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Jan 2014 to 8 Dec 2019)
  • Ashmore Investment Advisors Limited (no longer approved here)

    FRN 611412

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Feb 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Feb 2023)
    • CF11 Money Laundering Reporting (18 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jul 2014 to 8 Dec 2019)
  • Janus Henderson Investors UK Limited (no longer approved here)

    FRN 121857

    • CF10a CASS Oversight function (1 Oct 2011 to 22 Nov 2013)
    • CF11 Money Laundering Reporting (15 May 2006 to 1 Nov 2006)
    • CF10 Compliance Oversight (6 Feb 2006 to 22 Nov 2013)
  • Janus Henderson Fund Management UK Limited (no longer approved here)

    FRN 121859

    • CF10a CASS Oversight function (1 Oct 2011 to 22 Nov 2013)
    • CF11 Money Laundering Reporting (15 May 2006 to 1 Nov 2006)
    • CF10 Compliance Oversight (6 Feb 2006 to 22 Nov 2013)
  • NS PARTNERS LTD (no longer approved here)

    FRN 141667

    • CF11 Money Laundering Reporting (8 Apr 2011 to 4 Jul 2011)
    • CF10 Compliance Oversight (9 Apr 2009 to 4 Jul 2011)
  • Nuveen Investment Management International Limited (no longer approved here)

    FRN 141668

    • CF11 Money Laundering Reporting (8 Apr 2011 to 14 Sep 2011)
    • CF10 Compliance Oversight (9 Apr 2009 to 22 Nov 2013)
  • Nuveen Management AIFM Limited (no longer approved here)

    FRN 194149

    • CF11 Money Laundering Reporting (8 Apr 2011 to 14 Sep 2011)
    • CF10 Compliance Oversight (9 Apr 2009 to 22 Nov 2013)
  • Franklin Templeton Investment Management Limited (no longer approved here)

    FRN 121779

    • CF11 Money Laundering Reporting (16 Sep 2002 to 11 Jan 2006)
    • CF10 Compliance Oversight (16 Sep 2002 to 11 Jan 2006)
  • FIL Investment Services (UK) Limited (no longer approved here)

    FRN 121939

    • CF10 Compliance Oversight (1 Dec 2001 to 23 Aug 2002)

Recent activity

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

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