Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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PGIM FUND MANAGEMENT LIMITED
FRN 181389
- [FCA CF] Client dealing (since 1 Jul 2020)
- SMF9 Chair of the Governing Body (1 Dec 2020 to 30 Sep 2024)
- SMF3 Executive Director (9 Dec 2019 to 30 Sep 2024)
- CF1 Director (20 Aug 2019 to 8 Dec 2019)
- CF30 Customer (22 Jul 2014 to 8 Dec 2019)
- CF29 Significant management (22 Jul 2014 to 8 Dec 2019)
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PGIM LIMITED
FRN 193418
- [FCA CF] Client dealing (since 1 Jul 2020)
- CF29 Significant management (11 Dec 2012 to 8 Dec 2019)
- CF30 Customer (22 Jun 2010 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 11 Apr 2008)
- CF21 Investment Adviser (16 Dec 2003 to 31 Oct 2007)
- CF27 Investment Management (16 Dec 2003 to 31 Oct 2007)
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- CF27 Investment Management (1 Dec 2001 to 30 May 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.