Our Certified Staff


Fisher Investment Europe Limited (“FIE”) is regulated by the Financial Conduct Authority (“FCA”) and therefore with effect from 9 December 2019 became subject to the requirements of the Senior Manager & Certification Regime (“SMCR”).  The SMCR consists of three individual components: the Senior Managers’ Regime, the Certification Regime and the Conduct Rules. Each are describe below:

Senior Managers’ Regime

This regime is designed to enhance the individual accountability of the most Senior Managers in a firm who are required to take reasonable steps to ensure that the areas of the firm for which they are responsible complies with the relevant requirements and standards of the regulatory system.

Under this regime all FIE Senior Managers have been approved by the FCA and their details are displayed on the FCA Financial Services Register.

Certification Regime

Under this regime FIE must assess and certify that certain employees (called Certified Staff) who could cause harm to clients or the financial markets are fit and proper to perform their role.

With effect from 31st March 2021 all FIE Certified Staff, at firm, including those whose roles do not involve meeting clients, will be displayed on the new FCA Directory.

The table below shows FIE’s Certified Staff whose role involves meeting prospective FIE clients i.e. FIEs Private Client Directors.

Conduct Rules

These new rules consist of Individual Conduct Rules and Senior Conduct Rules.

The Individual Conduct Rules apply to all staff performing a financial services role and requires them to conduct their role with honesty, integrity and with due care, skill and diligence.

The Senior Manager Conduct Rules are additional rules applying to Senior Managers which require them to take certain reasonable steps in respect of the business they are responsible for to ensure regulatory obligations are met.

If you have any queries about an individual representing FIE, following an initial meeting with one of our Private Client Directors please contact FIE Compliance at;

Address:
Level 18, One Canada Square
Canary Wharf, London,
E14 5AX
UNITED KINGDOM

Phone: 44 08001444731

Fax: 44 02075048026

Email: compliance@fisherinvestments.co.uk



Private Client Director Accredited Body Statement of Professional Standing (Issue date)

Adrian Tomaino

The Chartered Insurance Institute

01/03/2021

Andrew Mortimore

The Chartered Insurance Institute

01/03/2021

Angela Singh

The Chartered Insurance Institute

01/07/2021

Chris Eason

The Chartered Institute for Securities and Investment

04/12/2020

David Giles

The Chartered Insurance Institute

01/03/2021

Dominic Heaton

The London Institute of Banking and Finance

19/02/2021

Duncan Budd

The Chartered Insurance Institute

25/02/2021

Gary Tighe

The Chartered Insurance Institute

01/09/2020

George Markov

The London Institute of Banking and Finance

01/08/2021

Jamie McIntyre

The Chartered Insurance Institute

01/02/2021

John Toll

The Chartered Insurance Institute

01/03/2021

John Rylands

The Chartered Institute for Securities and Investment

31/12/2020

Josh Gupta

The Chartered Institute for Securities and Investment

30/04/2021

Kirsty McBride

The Chartered Insurance Institute

01/03/2021

Kunal Patel

The Chartered Insurance Institute

01/06/2021

Mark Woodhead

The Chartered Insurance Institute

01/04/2021

Mark Whittle

CFA Society of the UK

01/01/2021

Mark Allen

The Chartered Institute for Securities and Investment

17/02/2021

Nick Skelton

The Chartered Institute for Securities and Investment

01/12/2020

Nick Wiseman

The Chartered Institute for Securities and Investment

01/12/2020

Philip Blennerhassett

The Chartered Institute for Securities and Investment

09/12/2020

Ruth Wilson

The Chartered Insurance Institute

09/02/2021

Sonal Mehta

CFA Society of the UK

01/01/2021

Private Client Executive Accredited Body Statement of Professional Standing (Issue date)

Alex Porter

The Chartered Insurance Institute

01/12/2020

Alex Isaacs

The Chartered Institute for Securities and Investment

02/03/2021

Oliver Snow

The Chartered Institute for Securities and Investment

28/01/2021

Oliver Porter

The Chartered Institute for Securities and Investment

15/03/2021

Investing in financial markets involves the risk of loss and there is no guarantee that all or any capital invested will be repaid. Past performance neither guarantees nor reliably indicates future performance. The value of investments and the income from them will fluctuate with world financial markets and international currency exchange rates.