Kate Emma Leppard

Last updated
3 weeks ago
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Where they hold approval

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

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Material risk taker (since 22 Mar 2022)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • [FCA CF] Significant management (since 7 Mar 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 3 Mar 2021)
    • [FCA CF] Material risk taker (7 Mar 2016 to 19 Oct 2021)
    • CF29 Significant management (14 May 2015 to 6 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF16 Significant Mgt (Desgntd Investment Business) (12 Mar 2004 to 7 Jun 2007)
    • CF1 Director (12 Dec 2002 to 12 Mar 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Schroder Unit Trusts Limited

    FRN 197288

    • [FCA CF] Material risk taker (since 2 Mar 2020)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF27 Investment Management (1 Oct 2002 to 22 Nov 2004)
    • CF21 Investment Adviser (1 Oct 2002 to 22 Nov 2004)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF27 Investment Management (1 Oct 2002 to 22 Nov 2004)
    • CF21 Investment Adviser (1 Oct 2002 to 22 Nov 2004)

Recent activity

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

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