Richard James Lloyd

Last updated
3 weeks ago
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Where they hold approval

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

  • UBS Asset Management (UK) Ltd

    FRN 119319

    • [FCA CF] Client dealing (since 8 Nov 2024)
    • [FCA CF] Manager of certification employee (8 Nov 2024 to 3 Nov 2025)
    • [FCA CF] Material risk taker (8 Nov 2024 to 3 Nov 2025)
    • SMF18 Other Overall Responsibility (19 Jan 2021 to 18 Oct 2024)
    • CF30 Customer (17 Feb 2011 to 8 Dec 2019)
  • Insight Investment Management (Global) Limited (no longer approved here)

    FRN 119308

    • CF30 Customer (27 Mar 2009 to 29 Sep 2010)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF30 Customer (1 Nov 2007 to 13 Jun 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF30 Customer (1 Nov 2007 to 13 Jun 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
    • 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.