Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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M&G Investment Management Limited
FRN 119328
- [FCA CF] Manager of certification employee (since 2 May 2023)
- [FCA CF] Client dealing (since 24 Apr 2023)
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- [FCA CF] Manager of certification employee (since 2 May 2023)
- [FCA CF] Client dealing (since 24 Apr 2023)
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- [FCA CF] Manager of certification employee (1 Mar 2022 to 3 Feb 2023)
- [FCA CF] Client dealing (1 Oct 2020 to 3 Feb 2023)
- [FCA CF] Material risk taker (1 Oct 2020 to 18 Oct 2021)
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- [FCA CF] Significant management (15 Feb 2021 to 3 Feb 2023)
- [FCA CF] Material risk taker (1 Oct 2020 to 20 Sep 2022)
- [FCA CF] Client dealing (1 Oct 2020 to 3 Feb 2023)
- [FCA CF] Manager of certification employee (1 Oct 2020 to 3 Feb 2023)
- CF30 Customer (25 Jan 2019 to 8 Dec 2019)
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- CF30 Customer (14 May 2012 to 11 May 2018)
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- CF1 Director (30 Apr 2009 to 20 Feb 2012)
- CF30 Customer (30 Apr 2009 to 20 Feb 2012)
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- Employed By (30 Apr 2009 to 20 Feb 2012)
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- CF11 Money Laundering Reporting (10 Dec 2008 to 27 Mar 2009)
- CF10 Compliance Oversight (10 Dec 2008 to 27 Mar 2009)
- CF30 Customer (22 Nov 2007 to 27 Mar 2009)
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- CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.