Philip James Rose

Last updated
1 week ago
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Where they hold approval

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

  • Edale UK Management Limited

    FRN 812332

    • 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] Client dealing (since 19 May 2025)
    • [FCA CF] Functions requiring qualifications (since 19 May 2025)
  • Halwyn Capital Ltd

    FRN 816564

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • Responsibility for MCD Intermediation (since 25 May 2021)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • [FCA CF] Significant management (since 1 Jan 2020)
    • [FCA CF] Material risk taker (since 1 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [PRA CF] Significant risk taker or Material risk taker (1 Jan 2020 to 2 Jan 2020)
    • CF11 Money Laundering Reporting (1 Aug 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2019 to 8 Dec 2019)
    • CF1 Director (1 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2019 to 8 Dec 2019)
  • Hoxton Capital Management (UK) Ltd (no longer approved here)

    FRN 826793

    • CF30 Customer (9 Apr 2021 to 3 Aug 2021)
    • CF1 Director (AR) (9 Apr 2021 to 3 Aug 2021)

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