Lisa Lim

Watch for changes

Where they hold approval

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

RATHBONES ASSET MANAGEMENT LIMITED
FRN 144266
- [FCA CF] Client dealing (since 23 Jul 2025)
Prusik Investment Management LLP (no longer approved here)
FRN 431813
- [FCA CF] Client dealing (5 May 2023 to 19 Jan 2024)
- [FCA CF] Material risk taker (1 Nov 2021 to 5 May 2023)
Threadneedle Asset Management Limited (no longer approved here)
FRN 122194
- CF30 Customer (26 Jan 2012 to 19 Mar 2018)
Threadneedle International Limited (no longer approved here)
FRN 143014
- CF30 Customer (26 Jan 2012 to 19 Mar 2018)

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.