Caroline Jane Rose

Last updated
3 weeks ago
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Where they hold approval

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

  • RBC Europe Limited

    FRN 124543

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 30 Jul 2009)
    • CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Aug 2004 to 10 Aug 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

Recent activity

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

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