Harpal Singh Sra

Watch for changes

Where they hold approval

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

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 15 Feb 2021)
- [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)
FRN 155595
- CF30 Customer (29 Oct 2015 to 31 Mar 2018)
J. & J. INSURANCE & FINANCIAL CONSULTANTS LIMITED (no longer approved here)
FRN 311187
- CF1 Director (21 Feb 2011 to 1 Oct 2011)
Evelyn Partners Financial Planning Limited (no longer approved here)
FRN 136414
- CF30 Customer (29 Mar 2010 to 14 Aug 2015)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.