Rajesh Shant

Watch for changes

Where they hold approval

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

PGIM LIMITED
FRN 193418
- [FCA CF] Client dealing (since 1 Jul 2020)
- CF30 Customer (25 Sep 2019 to 8 Dec 2019)
The Bank of New York Mellon (no longer approved here)
FRN 122467
- CF30 Customer (25 Sep 2014 to 6 Mar 2016)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- CF30 Customer (1 Nov 2007 to 31 May 2019)
- CF27 Investment Management (25 Mar 2002 to 31 Oct 2007)
BNY Mellon Investment Management EMEA Limited (no longer approved here)
FRN 119196
- CF27 Investment Management (25 Mar 2002 to 26 Jun 2002)
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)
FRN 114627
- CF27 Investment Management (1 Dec 2001 to 12 Jan 2002)

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.