Wendy Lee Phillis

• NatWest Markets Plc

  FRN 121882

  • [FCA CF] Manager of certification employee (since 19 Aug 2025)
• The Royal Bank of Scotland International Limited

  FRN 760675

  • SMF16 Compliance Oversight (since 17 Feb 2023)
  • SMF4 Chief Risk (since 17 Feb 2023)
  • [FCA CF] Manager of certification employee (24 Nov 2022 to 1 Mar 2023)
  • [PRA CF] Significant risk taker or Material risk taker (24 Nov 2022 to 1 Mar 2023)
  • [FCA CF] Significant management (24 Nov 2022 to 15 Dec 2022)
• NatWest Trustee and Depositary Services Limited

  FRN 794152

  • SMF7 Group Entity Senior Manager (since 17 Feb 2023)
  • [FCA CF] Manager of certification employee (24 Nov 2022 to 1 Mar 2023)
  • [PRA CF] Significant risk taker or Material risk taker (24 Nov 2022 to 1 Mar 2023)
  • [FCA CF] Significant management (24 Nov 2022 to 15 Dec 2022)
• TP ICAP E&C Limited (no longer approved here)

  FRN 146880

  • CF29 Significant management (1 Feb 2017 to 2 Feb 2017)
• TP ICAP Broking Limited (no longer approved here)

  FRN 154234

  • CF29 Significant management (1 Feb 2017 to 2 Feb 2017)
• TP ICAP MTF LIMITED (no longer approved here)

  FRN 124341

  • CF29 Significant management (2 Jun 2014 to 1 Feb 2017)
• TP ICAP Markets Limited (no longer approved here)

  FRN 124520

  • CF29 Significant management (2 Jun 2014 to 1 Feb 2017)
• BROKERTEC EUROPE LIMITED (no longer approved here)

  FRN 161197

  • CF29 Significant management (2 Jun 2014 to 30 Dec 2016)
• OSTTRA SEF LIMITED (no longer approved here)

  FRN 472944

  • CF29 Significant management (2 Jun 2014 to 30 Dec 2016)
• iSwap Euro Limited (no longer approved here)

  FRN 544874

  • CF29 Significant management (2 Jun 2014 to 1 Feb 2017)

No changes recorded yet.