Thomas Carroll

Watch for changes

Where they hold approval

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

RATHBONES ASSET MANAGEMENT LIMITED
FRN 144266
- SMF1 Chief Executive (since 1 Dec 2023)
- SMF3 Executive Director (since 31 Mar 2022)
Atomos Investments Limited (no longer approved here)
FRN 122588
- [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Dec 2021)
Sanlam Investments UK Limited (no longer approved here)
FRN 459237
- SMF3 Executive Director (9 Dec 2019 to 11 Mar 2022)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (18 Jan 2007 to 31 Oct 2007)
- CF1 Director (18 Jan 2007 to 8 Dec 2019)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF27 Investment Management (1 Dec 2001 to 31 Jan 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
- CF27 Investment Management (1 Dec 2001 to 31 Jan 2007)

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.