Rupert Francis James Henry Ruvigny

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.

  • Brompton Asset Management Limited

    FRN 942254

    • SMF3 Executive Director (since 1 Dec 2021)
    • SMF16 Compliance Oversight (since 29 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jul 2021)
  • NS PARTNERS LTD (no longer approved here)

    FRN 141667

    • CF28 Systems and controls (1 Nov 2007 to 2 Apr 2009)
    • CF11 Money Laundering Reporting (2 Jun 2006 to 2 Apr 2009)
    • CF1 Director (1 Dec 2001 to 2 Apr 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Apr 2009)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
  • Nuveen Investment Management International Limited (no longer approved here)

    FRN 141668

    • CF28 Systems and controls (1 Nov 2007 to 2 Apr 2009)
    • CF11 Money Laundering Reporting (2 Jun 2006 to 2 Apr 2009)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 2 Apr 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Apr 2009)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Nuveen Management AIFM Limited (no longer approved here)

    FRN 194149

    • CF28 Systems and controls (1 Nov 2007 to 2 Apr 2009)
    • CF11 Money Laundering Reporting (2 Jun 2006 to 2 Apr 2009)
    • CF1 Director (1 Dec 2001 to 2 Apr 2009)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Apr 2009)

Recent activity

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

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