Caroline Emma Shaw

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.

  • FIL Investments International

    FRN 122170

    • [FCA CF] Client dealing (since 9 Sep 2021)
  • FIL Investment Advisors (UK) Limited

    FRN 159360

    • [FCA CF] Client dealing (since 9 Sep 2021)
  • Courtiers Investment Services Limited (no longer approved here)

    FRN 124995

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Aug 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 20 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (27 Feb 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (27 Feb 2002 to 18 Aug 2004)
  • Courtiers Asset Management Limited (no longer approved here)

    FRN 616322

    • [FCA CF] Significant management (9 Dec 2019 to 31 Aug 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2021)
    • CF30 Customer (22 Jul 2014 to 8 Dec 2019)

Recent activity

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

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