Louise Alison Rettie

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.

  • Schroders Investment Portfolio Services Limited (no longer approved here)

    FRN 230690

    • [FCA CF] Client dealing (7 Nov 2022 to 31 Aug 2024)
    • [FCA CF] Manager of certification employee (7 Nov 2022 to 31 Aug 2024)
    • [FCA CF] Functions requiring qualifications (7 Nov 2022 to 31 Aug 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Jul 2024)
    • SMF3 Executive Director (9 Dec 2019 to 20 Dec 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (17 Feb 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Feb 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Feb 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (17 Feb 2004 to 31 Oct 2007)
    • CF27 Investment Management (17 Feb 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.