Stephen Marc Rosen

Last updated
6 days ago
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Where they hold approval

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

  • MGY Management Services Limited

    FRN 956001

    • 13. Giving personal recommendations on and dealing with derivatives
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 6 Jun 2022)
    • SMF16 Compliance Oversight (since 6 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Jun 2022)
    • SMF3 Executive Director (since 6 Jun 2022)
    • [FCA CF] Client dealing (since 6 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 6 Jun 2022)
  • Omni Partners LLP (no longer approved here)

    FRN 416689

    • CF4 Partner (28 Jul 2009 to 1 Oct 2009)
    • CF30 Customer (11 Jun 2008 to 30 Jun 2016)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (1 Dec 2001 to 23 Mar 2007)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2005)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 23 Mar 2007)

Recent activity

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

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