Bruce Gareth Graham

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Where they hold approval

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

HSBC Global Asset Management (UK) Limited
FRN 122335
- [FCA CF] Client dealing (since 14 Jul 2022)
Royal London Asset Management Limited (no longer approved here)
FRN 141665
- [FCA CF] Client dealing (26 Jul 2021 to 28 Feb 2022)
- [FCA CF] Functions requiring qualifications (26 Jul 2021 to 28 Feb 2022)
- [FCA CF] Manager of certification employee (26 Jul 2021 to 28 Feb 2022)
GAM INTERNATIONAL MANAGEMENT LIMITED (no longer approved here)
FRN 122331
- [FCA CF] Client dealing (8 Feb 2021 to 16 Jul 2021)
BNP Paribas Asset Management UK Limited (no longer approved here)
FRN 170064
- CF30 Customer (14 Nov 2017 to 8 Dec 2019)

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.