Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SCHRODER & CO. LIMITED
FRN 144206
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 1 Feb 2024)
- [FCA CF] Client dealing (since 15 Feb 2023)
- [FCA CF] Material risk taker (since 22 Mar 2022)
- [FCA CF] Significant management (since 14 Jul 2020)
- [FCA CF] Material risk taker (14 Jul 2020 to 18 Oct 2021)
- [FCA CF] Manager of certification employee (14 Jul 2020 to 14 Sep 2022)
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Schroder Unit Trusts Limited
FRN 197288
- [FCA CF] Material risk taker (since 2 Nov 2021)
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- CF30 Customer (11 Jul 2011 to 29 Mar 2018)
Recent activity
Updates to this individual's record on the FCA register.
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