Thomas Andrew Williams

Watch for changes

Where they hold approval

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

Schroders IS Limited
FRN 195028
- [FCA CF] Manager of certification employee (since 3 Oct 2022)
- [FCA CF] Client dealing (since 3 Oct 2022)
Schroder Investment Management Limited
FRN 119348
- [FCA CF] Manager of certification employee (since 1 Oct 2020)
- [FCA CF] Client dealing (since 1 Oct 2020)
- CF30 Customer (2 May 2012 to 8 Dec 2019)
Schroder Investment Management North America Limited
FRN 144543
- [FCA CF] Client dealing (since 1 Oct 2020)
- [FCA CF] Manager of certification employee (since 1 Oct 2020)
- CF30 Customer (2 May 2012 to 8 Dec 2019)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (17 Mar 2010 to 17 Feb 2012)
Commerzbank AG (no longer approved here)
FRN 124920
- CF30 Customer (11 May 2009 to 27 Nov 2009)

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.