Neil Philip Walton

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Schroders IS Limited

    FRN 195028

    • [FCA CF] Client dealing (since 18 Jan 2023)
    • [FCA CF] Manager of certification employee (since 14 Jan 2023)
  • Schroder Investment Management Limited

    FRN 119348

    • [FCA CF] Client dealing (since 1 Oct 2020)
    • [FCA CF] Manager of certification employee (since 1 Oct 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Nov 2005 to 31 Oct 2007)
  • Schroder Pension Management Limited

    FRN 442769

    • [FCA CF] Material risk taker (since 1 Oct 2020)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • [FCA CF] Manager of certification employee (1 Oct 2020 to 4 Jun 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Nov 2005 to 31 Oct 2007)
  • Schroder Unit Trusts Limited (no longer approved here)

    FRN 197288

    • [FCA CF] Material risk taker (1 Oct 2020 to 19 Oct 2021)
    • [FCA CF] Manager of certification employee (1 Oct 2020 to 19 Oct 2021)
  • Mercer Limited (no longer approved here)

    FRN 121935

    • CF27 Investment Management (1 Dec 2001 to 30 May 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 30 May 2005)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Dec 2004)

Recent activity

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

No changes recorded yet.