Mark James Robertson

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.

  • HOTTINGER & CO. LIMITED

    FRN 208737

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Jan 2021 to 30 Sep 2024)
    • Responsible for Insurance Distribution (18 Jan 2021 to 25 Jul 2025)
    • SMF3 Executive Director (9 Dec 2019 to 25 Jul 2025)
    • CF1 Director (11 Oct 2016 to 8 Dec 2019)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (1 Nov 2007 to 2 Jan 2008)
    • CF21 Investment Adviser (2 Sep 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Jul 2004 to 2 Sep 2005)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 1 May 2002)

Recent activity

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

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