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 1 Dec 2021)
- [FCA CF] Functions requiring qualifications (since 4 Nov 2019)
- [PRA CF] Significant risk taker or Material risk taker (14 Feb 2022 to 27 Oct 2022)
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- CF30 Customer (31 Aug 2017 to 1 Oct 2019)
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- CF30 Customer (1 Nov 2007 to 6 Mar 2017)
- CF27 Investment Management (3 Feb 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.