Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
SCHRODER & CO. LIMITED
FRN 144206
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Material risk taker (since 22 Feb 2022)
- [FCA CF] Significant management (since 21 Feb 2018)
- [FCA CF] Client dealing (since 21 Feb 2018)
- [FCA CF] Functions requiring qualifications (since 21 Feb 2018)
- [FCA CF] Manager of certification employee (since 7 Mar 2016)
- [FCA CF] Material risk taker (21 Feb 2018 to 18 Oct 2021)
- CF30 Customer (5 Aug 2010 to 6 Mar 2016)
-
- CF27 Investment Management (1 Dec 2001 to 30 Sep 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.