Howard Bailey Trust

Watch for changes

Where they hold approval

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

Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- SMF7 Group Entity Senior Manager (26 Jan 2023 to 1 May 2023)
- [FCA CF] Manager of certification employee (1 Oct 2020 to 1 Feb 2023)
- [FCA CF] Material risk taker (1 Oct 2020 to 1 Feb 2023)
SCHRODER & CO. LIMITED (no longer approved here)
FRN 144206
- [FCA CF] Manager of certification employee (22 Sep 2022 to 15 May 2023)
- SMF7 Group Entity Senior Manager (24 Feb 2020 to 23 Dec 2020)
Nippon Life Schroders Asset Management Europe Limited (no longer approved here)
FRN 188997
- (186)[FCA CF] Material risk taker (1 Oct 2020 to 2 Aug 2023)
- (187)[FCA CF] Manager of certification employee (1 Oct 2020 to 4 Jul 2022)
Schroder Real Estate Investment Management Limited (no longer approved here)
FRN 190064
- [FCA CF] Manager of certification employee (1 Oct 2020 to 15 May 2023)
- [FCA CF] Material risk taker (1 Oct 2020 to 7 Aug 2023)
Schroder Wealth Management (US) Limited (no longer approved here)
FRN 781869
- [FCA CF] Material risk taker (1 Oct 2020 to 1 Aug 2023)
Schroder Pension Management Limited (no longer approved here)
FRN 442769
- SMF7 Group Entity Senior Manager (30 Apr 2020 to 1 May 2023)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- SMF7 Group Entity Senior Manager (24 Feb 2020 to 1 May 2023)
Schroder Unit Trusts Limited (no longer approved here)
FRN 197288
- SMF7 Group Entity Senior Manager (24 Feb 2020 to 1 May 2023)

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

1 day ago
controlled function added: (186)[FCA CF] Material risk taker at Nippon Life Schroders Asset Management Europe Limited
1 day ago
controlled function added: (187)[FCA CF] Manager of certification employee at Nippon Life Schroders Asset Management Europe Limited

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.