Simon Andrew Rogers

Last updated
3 weeks ago
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Where they hold approval

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

  • TFS Derivatives Limited

    FRN 197244

    • [FCA CF] Client dealing (since 16 Sep 2024)
  • TP ICAP E&C Limited (no longer approved here)

    FRN 146880

    • [FCA CF] Material risk taker (1 Jan 2023 to 13 Nov 2023)
    • [FCA CF] Manager of certification employee (31 Mar 2020 to 13 Nov 2023)
    • [FCA CF] Client dealing (31 Mar 2020 to 13 Nov 2023)
    • CF1 Director (12 Oct 2004 to 7 May 2014)
  • TP ICAP Broking Limited (no longer approved here)

    FRN 154234

    • [FCA CF] Material risk taker (1 Jan 2023 to 30 Nov 2023)
    • [FCA CF] Manager of certification employee (1 Oct 2022 to 30 Nov 2023)
    • [FCA CF] Client dealing (1 Oct 2022 to 30 Nov 2023)
    • CF30 Customer (1 Nov 2007 to 13 Jan 2016)
    • CF1 Director (26 Nov 2004 to 7 May 2014)
    • CF16 Significant Mgt (Desgntd Investment Business) (29 Sep 2004 to 15 May 2006)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.