Simon Robert Drath

Watch for changes

Where they hold approval

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

Schroder Investment Management Limited
FRN 119348
- [FCA CF] Manager of certification employee (since 29 Sep 2021)
- [FCA CF] Client dealing (since 1 Mar 2021)
- CF30 Customer (12 Oct 2016 to 8 Dec 2019)
Schroder Investment Management North America Limited
FRN 144543
- [FCA CF] Manager of certification employee (since 29 Sep 2021)
- [FCA CF] Client dealing (since 1 Mar 2021)
- CF30 Customer (12 Oct 2016 to 8 Dec 2019)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF30 Customer (1 Dec 2014 to 6 Mar 2016)

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.