Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SCHRODER & CO. LIMITED
FRN 144206
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 7 Mar 2016)
- [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
- [FCA CF] Material risk taker (7 Mar 2016 to 8 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF27 Investment Management (31 May 2005 to 31 Oct 2007)
- CF21 Investment Adviser (31 May 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.