Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Northern Trust Global Investments Limited
FRN 191916
- [FCA CF] Client dealing (since 20 Mar 2024)
- SMF18 Other Overall Responsibility (11 Dec 2021 to 20 Mar 2024)
- [FCA CF] Significant management (18 Sep 2020 to 28 Feb 2022)
- [FCA CF] Manager of certification employee (18 Sep 2020 to 28 Feb 2022)
- [FCA CF] Material risk taker (18 Sep 2020 to 28 Feb 2022)
- [FCA CF] Client dealing (1 Mar 2020 to 28 Feb 2022)
- CF30 Customer (10 Sep 2019 to 8 Dec 2019)
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- CF30 Customer (11 Apr 2012 to 8 Dec 2019)
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- CF30 Customer (22 Sep 2008 to 6 Jan 2012)
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- CF30 Customer (1 Nov 2007 to 14 May 2008)
- CF21 Investment Adviser (3 Aug 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.