Tom Brodie Mann

Watch for changes

Where they hold approval

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

Rathbones Investment Management Limited
FRN 116316
- [FCA CF] Client dealing (since 16 Oct 2024)
- [FCA CF] Manager of certification employee (16 Oct 2024 to 7 Mar 2025)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF30 Customer (19 Dec 2016 to 8 Dec 2019)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF30 Customer (19 Dec 2016 to 8 Dec 2019)
Baring International Investment Limited (no longer approved here)
FRN 122628
- CF30 Customer (15 Mar 2012 to 18 Oct 2016)
Baring Asset Management Limited (no longer approved here)
FRN 170601
- CF30 Customer (15 Mar 2012 to 18 Oct 2016)
abrdn Investments Limited (no longer approved here)
FRN 121891
- CF30 Customer (6 Jul 2009 to 2 Sep 2011)
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)
FRN 114627
- CF30 Customer (1 Nov 2007 to 30 Jun 2009)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 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.