Giles Roshier

Last updated
2 weeks ago
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Where they hold approval

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

  • The Toronto-Dominion Bank

    FRN 124859

    • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
    • [FCA CF] Material risk taker (since 4 Aug 2025)
    • [FCA CF] Client dealing (since 1 Apr 2024)
    • [PRA CF] Managing a material risk taker (1 Nov 2025 to 16 Mar 2026)
    • [FCA CF] Manager of certification employee (4 Aug 2025 to 16 Mar 2026)
    • SMF3 Executive Director (16 Dec 2024 to 4 Aug 2025)
    • [FCA CF] Material risk taker (1 Apr 2024 to 17 Dec 2024)
  • TD Execution Services Limited (no longer approved here)

    FRN 472780

    • SMF18 Other Overall Responsibility (14 Nov 2022 to 22 Apr 2024)
    • [FCA CF] Manager of certification employee (15 Dec 2021 to 11 Sep 2024)
    • [FCA CF] Client dealing (15 Dec 2021 to 11 Sep 2024)
  • Lazard & Co., Limited (no longer approved here)

    FRN 114054

    • CF30 Customer (20 Aug 2009 to 9 Mar 2012)
    • CF23 Corporate Finance Adviser (31 Jul 2002 to 4 Oct 2006)

Recent activity

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

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