Richard Farrar Rothwell

Last updated
5 days ago
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Where they hold approval

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

  • Chapel Hill Denham UK Limited

    FRN 955946

    • SMF16 Compliance Oversight (since 29 Jul 2022)
    • [FCA CF] Client dealing (since 29 Jul 2022)
    • SMF3 Executive Director (since 29 Jul 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jul 2022)
  • Stoneware Capital LLP

    FRN 451073

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
    • CF4 Partner (AR) (30 Jan 2014 to 29 Jan 2017)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Jul 2006 to 8 Dec 2019)
    • CF27 Investment Management (14 Jul 2006 to 31 Oct 2007)
    • CF3 Chief Executive (14 Jul 2006 to 8 Dec 2019)
    • CF4 Partner (14 Jul 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jul 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (14 Jul 2006 to 8 Dec 2019)
  • Clerus LLP (no longer approved here)

    FRN 614763

    • Employed By (30 Jan 2014 to 1 Feb 2017)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • CF27 Investment Management (1 Sep 2002 to 20 Feb 2006)
  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • CF27 Investment Management (20 Aug 2002 to 20 Feb 2006)

Recent activity

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

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