Roddy Andrew James Thomson

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IRN: RAT01061
Last updated: 2 weeks ago

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Where they hold approval

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

Investment Funds Direct Limited (no longer approved here)
FRN 114432
- SMF24 Chief Operations (19 Feb 2021 to 30 Apr 2021)
- SMF3 Executive Director (19 Feb 2021 to 30 Apr 2021)
Prudential Distribution Limited (no longer approved here)
FRN 194709
- SMF9 Chair of the Governing Body (9 Dec 2020 to 30 Apr 2021)
- SMF24 Chief Operations (9 Dec 2019 to 30 Apr 2021)
- SMF3 Executive Director (9 Dec 2019 to 30 Apr 2021)
- CF1 Director (20 Jan 2017 to 8 Dec 2019)
M&G Alternatives Investment Management Limited (no longer approved here)
FRN 122011
- [FCA CF] Significant management (16 Jul 2020 to 30 Apr 2021)
M & G Securities Limited (no longer approved here)
FRN 122057
- [FCA CF] Significant management (16 Jul 2020 to 30 Apr 2021)
M & G Financial Services Limited (no longer approved here)
FRN 122058
- [FCA CF] Significant management (16 Jul 2020 to 30 Apr 2021)
M&G Investment Management Limited (no longer approved here)
FRN 119328
- SMF24 Chief Operations (9 Dec 2019 to 30 Apr 2021)
- CF29 Significant management (21 Oct 2019 to 8 Dec 2019)
Prudential Lifetime Mortgages Limited (no longer approved here)
FRN 119350
- SMF24 Chief Operations (9 Dec 2019 to 30 Apr 2021)
- CF29 Significant management (20 Jan 2017 to 8 Dec 2019)
M&G ADVICE PARTNERS LIMITED (no longer approved here)
FRN 584256
- SMF24 Chief Operations (9 Dec 2019 to 30 Apr 2021)
- CF29 Significant management (20 Jan 2017 to 8 Dec 2019)
Prudential Pensions Limited (no longer approved here)
FRN 110434
- SMF24 Chief Operations (21 Oct 2019 to 30 Apr 2021)
- CF29 Significant management (20 Jan 2017 to 9 Dec 2018)
The Prudential Assurance Company Limited (no longer approved here)
FRN 139793
- SMF24 Chief Operations (21 Oct 2019 to 30 Apr 2021)
- CF29 Significant management (20 Jan 2017 to 9 Dec 2018)

Recent activity

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

No changes recorded yet.

What it all means

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.