Roger Frederick Yates

Watch for changes

Where they hold approval

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

Caliber Financial Associates Limited (no longer approved here)
FRN 211875
- Responsible for Insurance Distribution (1 Oct 2018 to 5 Feb 2019)
- CF10 Compliance Oversight (15 Nov 2016 to 5 Feb 2019)
- Responsibility for MCD Intermediation (15 Nov 2016 to 5 Feb 2019)
- CF11 Money Laundering Reporting (15 Nov 2016 to 5 Feb 2019)
- CF30 Customer (1 Nov 2007 to 5 Feb 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF3 Chief Executive (13 Sep 2002 to 1 Sep 2008)
- CF1 Director (13 Sep 2002 to 5 Feb 2019)
- CF21 Investment Adviser (13 Sep 2002 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (13 Sep 2002 to 31 Oct 2007)
- CF8 Apportionment and Oversight (13 Sep 2002 to 1 Sep 2008)
Caliber Financial Management Limited (no longer approved here)
FRN 471230
- Employed By (1 Nov 2007 to 5 Feb 2019)
Caliber Financial Associates Ltd (2455) (no longer approved here)
FRN 182659
- Employed By (1 Oct 1998 to 5 Sep 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.