John William Roe

Watch for changes

Where they hold approval

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

LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED
FRN 119272
- [FCA CF] Material risk taker (since 1 Jan 2026)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Material risk taker (9 Dec 2019 to 12 May 2021)
- CF1 Director (2 Jun 2017 to 30 Sep 2019)
- CF30 Customer (9 May 2012 to 8 Dec 2019)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- [FCA CF] Material risk taker (1 Apr 2020 to 31 Dec 2021)
Legal and General Assurance (Pensions Management) Limited (no longer approved here)
FRN 202202
- CF1 Director (15 Mar 2013 to 7 Nov 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (1 Nov 2007 to 21 Apr 2009)
- CF21 Investment Adviser (16 Nov 2005 to 31 Oct 2007)

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.