Nicholas Hugh Lawes

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.

  • Bordier & Cie (UK) PLC

    FRN 114324

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to 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 20 May 2024)
    • [FCA CF] Client dealing (since 20 May 2024)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • [FCA CF] Client dealing (1 Jul 2021 to 30 Apr 2024)
    • [FCA CF] Functions requiring qualifications (1 Jul 2021 to 30 Apr 2024)
    • [FCA CF] Manager of certification employee (1 Jul 2021 to 30 Apr 2024)
    • CF1 Director (1 Aug 2016 to 21 Sep 2017)

Recent activity

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

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