Vivienne Brooks

Watch for changes

Where they hold approval

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

RBC Europe Limited
FRN 124543
- 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 4 Nov 2024)
- [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (1 Nov 2019 to 9 Oct 2020)
AAGSJP Ltd (no longer approved here)
FRN 402015
- (28)Employed By (1 Nov 2019 to 9 Oct 2020)

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

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.