Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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City Asset Management Plc
FRN 122483
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF30 Customer (19 Jan 2014 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 10 Jan 2014)
- CF1 Director (1 Jun 2007 to 28 Sep 2012)
- CF21 Investment Adviser (1 Dec 2001 to 23 Dec 2002)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.