Tom Montagu-Pollock

Last updated
3 weeks ago
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Where they hold approval

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

  • Schroder Unit Trusts Limited

    FRN 197288

    • [FCA CF] Material risk taker (since 13 Mar 2020)
  • 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] Functions requiring qualifications (since 1 Jan 2019)
    • [FCA CF] Client dealing (since 1 Jan 2019)
    • [FCA CF] Manager of certification employee (since 1 Jan 2019)
    • CF30 Customer (11 Feb 2009 to 6 Mar 2016)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF30 Customer (11 Feb 2009 to 14 Jan 2013)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF30 Customer (11 Feb 2009 to 14 Jan 2013)

Recent activity

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

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