Mark Cooke

• Scottish Widows Schroder Personal Wealth Limited

  FRN 830170

  • SMF16 Compliance Oversight (since 1 Mar 2025)
  • [FCA CF] Material risk taker (since 3 Sep 2024)
  • [FCA CF] Manager of certification employee (since 3 Sep 2024)
  • [FCA CF] Significant management (since 3 Sep 2024)
• HSBC UK Bank Plc (no longer approved here)

  FRN 765112

  • [PRA CF] Significant risk taker or Material risk taker (6 Aug 2019 to 7 Nov 2020)
  • [FCA CF] Manager of certification employee (1 Jul 2018 to 4 Dec 2019)
  • [PRA CF] Managing a material risk taker (1 Jul 2018 to 4 Dec 2019)
• HSBC Bank Plc (no longer approved here)

  FRN 114216

  • [PRA CF] Managing a material risk taker (25 Jan 2017 to 4 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (25 Jan 2017 to 7 Feb 2019)
  • [FCA CF] Manager of certification employee (25 Jan 2017 to 4 Dec 2019)
  • CF28 Systems and controls (2 Jan 2014 to 6 Mar 2016)
• HSBC Global Asset Management (UK) Limited (no longer approved here)

  FRN 122335

  • CF28 Systems and controls (2 Jan 2014 to 8 Dec 2019)
• CHESNARA LIFE (UK) LIMITED (no longer approved here)

  FRN 133435

  • CF28 Systems and controls (2 Jan 2014 to 6 Mar 2016)
• Marks and Spencer Unit Trust Management Limited (no longer approved here)

  FRN 141662

  • CF28 Systems and controls (2 Jan 2014 to 26 Mar 2019)
• MARKS AND SPENCER FINANCIAL SERVICES PLC (no longer approved here)

  FRN 151427

  • CF28 Systems and controls (2 Jan 2014 to 6 Mar 2016)
• HSBC Alternative Investments Limited (no longer approved here)

  FRN 170423

  • CF28 Systems and controls (2 Jan 2014 to 8 Dec 2019)
• BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

  FRN 155595

  • CF28 Systems and controls (28 May 2010 to 19 Sep 2013)
• Barclays Asset Management Limited (no longer approved here)

  FRN 505543

  • CF28 Systems and controls (28 May 2010 to 19 Sep 2013)

No changes recorded yet.