Rick Wisentaner

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Where they hold approval

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

Canada Life Asset Management Limited
FRN 194570
- [FCA CF] Significant management (since 8 Jan 2021)
- [FCA CF] Material risk taker (since 8 Jan 2021)
Canada Life Limited (no longer approved here)
FRN 110394
- [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 31 Dec 2022)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
- [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2026)
Mitsubishi UFJ Asset Management (UK) Ltd. (no longer approved here)
FRN 121816
- CF30 Customer (27 Mar 2009 to 7 Oct 2011)
HSBC Global Asset Management (UK) Limited (no longer approved here)
FRN 122335
- CF27 Investment Management (24 Jun 2003 to 2 Jun 2006)
Insight Investment Management (Global) Limited (no longer approved here)
FRN 119308
- CF27 Investment Management (13 Feb 2002 to 24 Apr 2003)

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.