Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rathbones Investment Management Limited
FRN 116316
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 1 Mar 2023)
- [FCA CF] Manager of certification employee (since 8 Jun 2021)
- [FCA CF] Functions requiring qualifications (since 11 Sep 2020)
- [PRA CF] Significant risk taker or Material risk taker (26 Sep 2023 to 18 Sep 2025)
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- CF21 Investment Adviser (1 Dec 2001 to 23 Dec 2002)
- CF27 Investment Management (1 Dec 2001 to 8 Sep 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.