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.

    • Director of firm who is not a certification employee or a SMF manager (since 22 Nov 2023)
  • First Sentier Investors (UK) IM Limited (no longer approved here)

    FRN 119367

    • SMF3 Executive Director (9 Dec 2019 to 17 Dec 2021)
    • SMF1 Chief Executive (9 Dec 2019 to 21 Dec 2020)
    • CF3 Chief Executive (21 Mar 2013 to 8 Dec 2019)
    • CF1 Director (6 Feb 2012 to 8 Dec 2019)
    • CF28 Systems and controls (9 Mar 2010 to 27 Dec 2010)
    • CF29 Significant management (1 Nov 2007 to 1 Nov 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Nov 2006 to 31 Oct 2007)
  • First Sentier Investors International IM Limited (no longer approved here)

    FRN 122512

    • SMF1 Chief Executive (9 Dec 2019 to 21 Dec 2020)
    • SMF3 Executive Director (9 Dec 2019 to 17 Dec 2021)
    • CF3 Chief Executive (21 Mar 2013 to 8 Dec 2019)
    • CF1 Director (6 Feb 2012 to 8 Dec 2019)
    • CF28 Systems and controls (9 Mar 2010 to 27 Dec 2010)
    • CF29 Significant management (1 Nov 2007 to 1 Nov 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Nov 2006 to 31 Oct 2007)
  • First Sentier Investors (UK) Funds Limited (no longer approved here)

    FRN 143359

    • SMF3 Executive Director (9 Dec 2019 to 17 Dec 2021)
    • SMF1 Chief Executive (9 Dec 2019 to 21 Dec 2020)
    • CF3 Chief Executive (21 Mar 2013 to 8 Dec 2019)
    • CF1 Director (6 Feb 2012 to 8 Dec 2019)
    • CF28 Systems and controls (9 Mar 2010 to 27 Dec 2010)
    • CF29 Significant management (1 Nov 2007 to 1 Nov 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Nov 2006 to 31 Oct 2007)
  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • CF21 Investment Adviser (1 Dec 2001 to 5 Sep 2003)

Recent activity

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

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