Elaine Rogers

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • [FCA CF] Material risk taker (26 Nov 2024 to 1 Jan 2025)
    • [FCA CF] Significant management (1 Apr 2022 to 1 Jan 2025)
    • SMF22 Other Local Responsibility (5 Jan 2018 to 15 Aug 2024)
  • Northern Trust Global Services SE (no longer approved here)

    FRN 829966

    • SMF22 Other Local Responsibility (10 Nov 2022 to 4 Oct 2024)
    • [FCA CF] CASS oversight function (25 Mar 2021 to 10 Nov 2022)
    • [FCA CF] Manager of certification employee (25 Mar 2021 to 10 Nov 2022)
    • [FCA CF] Material risk taker (25 Mar 2021 to 9 Jul 2021)
    • [FCA CF] Significant management (25 Mar 2021 to 1 Jan 2025)
  • Northern Trust Securities LLP (no longer approved here)

    FRN 465131

    • [FCA CF] Significant management (1 Apr 2022 to 1 Jan 2025)
  • Northern Trust Investor Services Limited (no longer approved here)

    FRN 927658

    • [FCA CF] Significant management (1 Apr 2022 to 13 Jan 2025)
    • SMF18 Other Overall Responsibility (19 May 2021 to 4 Oct 2024)

Recent activity

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

No changes recorded yet.