Timothy Rodgers

Last updated
2 weeks ago
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Where they hold approval

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

  • TM Asset Management Limited

    FRN 616688

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 23 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 23 Sep 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (7 Jul 2014 to 8 Dec 2019)
    • CF1 Director (7 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Jul 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Jul 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Jul 2014 to 30 Sep 2018)
  • Janus Henderson Investors UK Limited (no longer approved here)

    FRN 121857

    • CF21 Investment Adviser (6 Feb 2004 to 5 Nov 2004)
  • Janus Henderson Fund Management UK Limited (no longer approved here)

    FRN 121859

    • CF21 Investment Adviser (6 Feb 2004 to 5 Nov 2004)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.