Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Rathbones Investment Management Limited
FRN 116316
- 14. Managing investments
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Significant management (since 1 Jul 2024)
- [PRA CF] Significant risk taker or Material risk taker (since 1 Jan 2024)
- [FCA CF] Manager of certification employee (since 1 Jan 2024)
- [FCA CF] Client dealing (since 1 Mar 2023)
- [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
- [FCA CF] Manager of certification employee (1 Oct 2017 to 7 Dec 2020)
- SMF18 Other Overall Responsibility (7 Mar 2016 to 31 Dec 2023)
- CF29 Significant management (5 Oct 2015 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF1 Director (1 Dec 2001 to 31 Dec 2012)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.