Rosemary Harris

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.

  • Lloyds Bank Insurance Services Limited (no longer approved here)

    FRN 310738

    • CF1 Director (20 May 2011 to 29 Feb 2012)
    • CF3 Chief Executive (20 May 2011 to 2 Feb 2012)
    • Responsible for Insurance Mediation (20 May 2011 to 2 Feb 2012)
    • CF8 Apportionment and Oversight (20 May 2011 to 2 Feb 2012)
    • CF10 Compliance Oversight (15 Apr 2009 to 20 May 2011)
    • CF28 Systems and controls (15 Apr 2009 to 20 May 2011)
    • CF11 Money Laundering Reporting (15 Apr 2009 to 20 May 2011)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF11 Money Laundering Reporting (15 Apr 2009 to 20 May 2011)
    • CF28 Systems and controls (15 Apr 2009 to 20 May 2011)
    • CF10 Compliance Oversight (15 Apr 2009 to 20 May 2011)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF28 Systems and controls (15 Apr 2009 to 25 May 2011)
    • CF10 Compliance Oversight (15 Apr 2009 to 25 May 2011)
    • CF11 Money Laundering Reporting (15 Apr 2009 to 25 May 2011)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF11 Money Laundering Reporting (15 Apr 2009 to 20 May 2011)
    • CF10 Compliance Oversight (15 Apr 2009 to 25 May 2011)
    • CF28 Systems and controls (15 Apr 2009 to 20 May 2011)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF17 Significant Mgt (Other Business Operations) (10 Oct 2006 to 2 Feb 2007)
    • CF20 Significant Mgt (Settlements) (27 Sep 2005 to 2 Feb 2007)
    • CF18 Significant Mgt (Insurance Underwriting) (27 Sep 2005 to 2 Feb 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (27 Sep 2005 to 2 Feb 2007)
    • CF19 Significant Mgt (Financial Resources) (8 Jan 2004 to 10 Oct 2006)
    • CF10 Compliance Oversight (8 Jan 2004 to 27 Sep 2005)
    • CF14 Risk Assessment (8 Jan 2004 to 27 Sep 2005)
  • Prudential Lifetime Mortgages Limited (no longer approved here)

    FRN 119350

    • CF17 Significant Mgt (Other Business Operations) (10 Oct 2006 to 2 Feb 2007)
    • CF20 Significant Mgt (Settlements) (27 Sep 2005 to 10 Oct 2006)
    • CF18 Significant Mgt (Insurance Underwriting) (27 Sep 2005 to 2 Feb 2007)
    • CF19 Significant Mgt (Financial Resources) (8 Jan 2004 to 10 Oct 2006)
    • CF10 Compliance Oversight (8 Jan 2004 to 27 Sep 2005)
    • CF14 Risk Assessment (8 Jan 2004 to 27 Sep 2005)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 28 Jun 2002)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF17 Significant Mgt (Other Business Operations) (10 Oct 2006 to 2 Feb 2007)
    • CF1 Director (10 Oct 2006 to 2 Feb 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (27 Sep 2005 to 2 Feb 2007)
    • CF18 Significant Mgt (Insurance Underwriting) (27 Sep 2005 to 2 Feb 2007)
    • CF20 Significant Mgt (Settlements) (27 Sep 2005 to 2 Feb 2007)
    • CF14 Risk Assessment (8 Jan 2004 to 27 Sep 2005)
    • CF19 Significant Mgt (Financial Resources) (8 Jan 2004 to 10 Oct 2006)
    • CF10 Compliance Oversight (8 Jan 2004 to 27 Sep 2005)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF1 Director (4 Nov 2005 to 2 Feb 2007)
    • CF18 Significant Mgt (Insurance Underwriting) (27 Sep 2005 to 4 Nov 2005)
    • CF20 Significant Mgt (Settlements) (27 Sep 2005 to 4 Nov 2005)
    • Responsible for Insurance Mediation (14 Jan 2005 to 27 Sep 2005)
    • CF10 Compliance Oversight (8 Jan 2004 to 27 Sep 2005)
    • CF14 Risk Assessment (8 Jan 2004 to 27 Sep 2005)
    • CF19 Significant Mgt (Financial Resources) (8 Jan 2004 to 4 Nov 2005)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 28 Jun 2002)
  • Vitality Health Limited (no longer approved here)

    FRN 400057

    • CF1 Director (4 Nov 2005 to 2 Feb 2007)

Recent activity

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

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