Michael Berman

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.

  • Stonehage Fleming Investment Management Limited

    FRN 194382

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 22 Jun 2022)
    • [FCA CF] Material risk taker (since 1 Jan 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (1 Nov 2019 to 8 Dec 2019)
    • CF28 Systems and controls (19 Feb 2011 to 27 Jun 2012)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (17 Nov 2003 to 31 Oct 2007)

Recent activity

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

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