Thomas Rose

Watch for changes

Where they hold approval

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

AXA Investment Managers GS Limited
FRN 188523
- [FCA CF] Material risk taker (since 19 Jan 2024)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF30 Customer (12 May 2017 to 8 Dec 2019)
FIL Investment Services (UK) Limited (no longer approved here)
FRN 121939
- CF30 Customer (29 Oct 2008 to 1 Oct 2016)
FIL Investments International (no longer approved here)
FRN 122170
- CF30 Customer (29 Oct 2008 to 1 Oct 2016)
FIL Pensions Management (no longer approved here)
FRN 144345
- CF30 Customer (29 Oct 2008 to 1 Oct 2016)
FIL Investment Advisors (UK) Limited (no longer approved here)
FRN 159360
- CF30 Customer (29 Oct 2008 to 1 Oct 2016)

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.