Thomas Edmund Rice

Watch for changes

Where they hold approval

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

PIMCO Europe Ltd
FRN 149303
- [FCA CF] Material risk taker (since 19 Aug 2024)
- [FCA CF] Significant management (since 9 Dec 2020)
Lazard Asset Management Limited (no longer approved here)
FRN 121839
- CF10 Compliance Oversight (1 Dec 2001 to 30 May 2003)
Lazard Fund Managers Limited (no longer approved here)
FRN 122190
- CF10 Compliance Oversight (1 Dec 2001 to 30 May 2003)

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.