Mark Richard Waring

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.

  • Rathbones Investment Management Limited

    FRN 116316

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Client dealing (since 1 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF26 Customer Trading (18 Apr 2007 to 31 Oct 2007)
  • RATHBONES ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 144266

    • CF30 Customer (1 Nov 2007 to 17 Jan 2013)
    • CF26 Customer Trading (18 Apr 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.