Where they hold approval

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

    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Apr 2014 to 8 Dec 2019)
  • Newton Investment Management Limited (no longer approved here)

    FRN 119331

    • CF30 Customer (14 Apr 2010 to 20 Nov 2013)
  • Baring International Investment Limited (no longer approved here)

    FRN 122628

    • CF30 Customer (1 Nov 2007 to 15 Jan 2010)
    • CF27 Investment Management (18 Jun 2007 to 31 Oct 2007)
  • Baring Asset Management Limited (no longer approved here)

    FRN 170601

    • CF30 Customer (1 Nov 2007 to 15 Jan 2010)
    • CF27 Investment Management (18 Jun 2007 to 31 Oct 2007)

Recent activity

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

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