Caspar Alexander Rock

Last updated
1 week ago
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Where they hold approval

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

  • Schroder Investment Management Limited

    FRN 119348

    • [FCA CF] Material risk taker (since 24 Sep 2025)
  • Schroder Wealth Management (US) Limited

    FRN 781869

    • [FCA CF] Material risk taker (since 13 Jun 2024)
  • Schroder Unit Trusts Limited

    FRN 197288

    • [FCA CF] Manager of certification employee (since 1 Oct 2020)
    • [FCA CF] Material risk taker (since 1 Oct 2020)
  • SCHRODER & CO. LIMITED

    FRN 144206

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF3 Executive Director (since 1 Feb 2017)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)

Recent activity

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

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