John Andrew Umfreville

Watch for changes

Where they hold approval

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

Rathbones Investment Management Limited (no longer approved here)
FRN 116316
- [FCA CF] Client dealing (7 Mar 2016 to 1 Aug 2019)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF26 Customer Trading (26 Jul 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (21 Feb 2007 to 26 Jul 2007)
RATHBONES ASSET MANAGEMENT LIMITED (no longer approved here)
FRN 144266
- CF30 Customer (31 Jan 2011 to 31 Jul 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF26 Customer Trading (30 Nov 2002 to 30 Oct 2006)
HSBC Global Asset Management (UK) Limited (no longer approved here)
FRN 122335
- CF26 Customer Trading (1 Dec 2001 to 30 Oct 2006)

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.