Penelope Jane Rawlings

Watch for changes

Where they hold approval

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

HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (19 Dec 2013 to 1 Apr 2015)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (7 Nov 2012 to 20 Jun 2013)
Caroline Griffiths (no longer approved here)
FRN 401793
- Employed By (7 Nov 2012 to 20 Jun 2013)
Fisher Investments Europe Limited (no longer approved here)
FRN 191609
- CF30 Customer (1 Nov 2007 to 22 Apr 2011)
- CF21 Investment Adviser (16 May 2007 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.