Roger Bruce Douglas

Last updated
1 week ago
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Where they hold approval

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

  • Coolabah Capital (UK) Ltd

    FRN 933016

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2022)
  • Sempera Limited (no longer approved here)

    FRN 915609

    • SMF16 Compliance Oversight (1 Apr 2022 to 2 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Apr 2022 to 2 Dec 2022)
    • SMF3 Executive Director (31 Dec 2019 to 2 Dec 2022)
    • SMF27 Partner (9 Dec 2019 to 9 Dec 2019)
    • CF1 Director (16 Oct 2019 to 9 Dec 2019)
    • CF30 Customer (16 Oct 2019 to 9 Dec 2019)
    • CF4 Partner (16 Oct 2019 to 9 Sep 2019)
  • DWS Investments UK Limited (no longer approved here)

    FRN 429806

    • CF1 Director (22 Nov 2016 to 16 Feb 2018)
    • CF30 Customer (2 Aug 2013 to 16 Feb 2018)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Material risk taker (7 Mar 2016 to 21 Apr 2016)
    • CF30 Customer (1 Nov 2007 to 2 Aug 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • DWS Alternatives Global Limited (no longer approved here)

    FRN 458997

    • Responsible for Insurance Mediation (27 Feb 2015 to 21 Jul 2017)
    • CF29 Significant management (27 Feb 2015 to 16 Feb 2018)
    • CF30 Customer (1 Dec 2014 to 16 Feb 2018)

Recent activity

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

No changes recorded yet.