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
- 14. Managing investments
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Significant management (since 1 Jul 2024)
- [FCA CF] Client dealing (since 1 Mar 2023)
- [PRA CF] Significant risk taker or Material risk taker (since 1 Dec 2021)
- [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
- [FCA CF] Manager of certification employee (since 7 Mar 2016)
- [PRA CF] Managing a material risk taker (1 Dec 2021 to 2 Dec 2021)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (7 Apr 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (8 Dec 2005 to 7 Apr 2006)
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- CF30 Customer (13 Jan 2011 to 20 Nov 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.