Mark Andrew Harris

Watch for changes

Where they hold approval

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

Rosebridge Asset Management Limited
FRN 976173
- Director of firm who is not a certification employee or a SMF manager (since 23 Feb 2023)
EPIC Markets (UK) LLP (no longer approved here)
FRN 231778
- [FCA CF] Client dealing (1 Jan 2022 to 18 Sep 2023)
Canaccord Genuity Wealth Limited (no longer approved here)
FRN 194927
- CF30 Customer (14 Sep 2011 to 1 Oct 2012)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF30 Customer (4 Jun 2009 to 3 Feb 2011)
Janus Henderson Fund Management UK Limited (no longer approved here)
FRN 121859
- CF30 Customer (4 Jun 2009 to 3 Feb 2011)
Nuveen Management AIFM Limited (no longer approved here)
FRN 194149
- CF30 Customer (1 Nov 2007 to 3 Feb 2011)
- CF1 Director (18 Apr 2006 to 2 Apr 2009)
- CF27 Investment Management (3 Nov 2003 to 31 Oct 2007)

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.