Tom Sumpster

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.

  • Canadian Imperial Bank of Commerce

    FRN 141285

    • [FCA CF] Material risk taker (since 7 Oct 2025)
    • [FCA CF] Manager of certification employee (since 2 Feb 2025)
    • [FCA CF] Client dealing (since 5 Sep 2024)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • [FCA CF] Material risk taker (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Significant management (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Client dealing (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Manager of certification employee (1 Jan 2022 to 30 Sep 2023)
  • ReAssure Life Limited (no longer approved here)

    FRN 110462

    • [FCA CF] Client dealing (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Manager of certification employee (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Material risk taker (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Significant management (1 Jan 2022 to 30 Sep 2023)
  • ReAssure Limited (no longer approved here)

    FRN 110495

    • [FCA CF] Client dealing (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Manager of certification employee (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Material risk taker (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Significant management (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 30 Sep 2023)
  • Standard Life Assurance Limited (no longer approved here)

    FRN 439567

    • [FCA CF] Client dealing (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Significant management (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Material risk taker (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 30 Sep 2023)
    • [FCA CF] Manager of certification employee (1 Jan 2022 to 30 Sep 2023)
  • LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 119272

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2020)
    • CF30 Customer (14 Jun 2017 to 8 Dec 2019)
  • LGIM Real Assets (Operator) Limited (no longer approved here)

    FRN 447041

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2020)
    • CF30 Customer (11 Jan 2018 to 8 Dec 2019)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF30 Customer (8 Jul 2008 to 6 Mar 2016)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF30 Customer (8 Jul 2008 to 6 Mar 2016)

Recent activity

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

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