Guy Lister Brogden

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.

  • Barwood Capital Limited

    FRN 517641

    • SMF9 Chair of the Governing Body (since 23 Jul 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 23 Jul 2024)
    • CF1 Director (16 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (16 Nov 2017 to 8 Dec 2019)
    • CF2 Non Executive Director (24 Jul 2015 to 16 Nov 2017)
  • Swiss Life Asset Managers UK Limited (no longer approved here)

    FRN 229228

    • CF3 Chief Executive (29 May 2012 to 18 Aug 2014)
    • CF30 Customer (9 Jul 2009 to 26 Mar 2015)
    • CF1 Director (20 Feb 2004 to 26 Mar 2015)
    • CF10 Compliance Oversight (20 Feb 2004 to 18 Aug 2014)
    • CF11 Money Laundering Reporting (20 Feb 2004 to 18 Aug 2014)

Recent activity

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

No changes recorded yet.