Stephen James Leslie John Rothwell

Watch for changes

Where they hold approval

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

Sarasin & Partners LLP
FRN 475111
- [FCA CF] Material risk taker (since 24 Jan 2024)
SCHRODER & CO. LIMITED (no longer approved here)
FRN 144206
- CF30 Customer (1 Nov 2007 to 21 Nov 2011)
- CF21 Investment Adviser (20 Jul 2004 to 31 Oct 2007)
- CF27 Investment Management (16 Dec 2002 to 31 Oct 2007)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF21 Investment Adviser (1 Dec 2001 to 4 Nov 2002)

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.