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. Prior to 9 December 2019 some Certified Staff were approved by the FCA and their details were displayed on the FCA Financial Services Register.

With effect from 9 December 2019 FIE Certified Staff are no longer shown on the FCA Financial Services Register, however you can check if an individual is an FIE Certified Staff member by reviewing the list below. Please note this link only shows FIE’s Certified Staff whose role involves meeting prospective FIE clients i.e. FIEs Private Client Directors. FIE Certified Staff whose roles do not involve meeting clients are not included in this list.

With effect from 9 December 2020 all FIE Certified Staff, at firm, including those whose role does not involve meeting clients, will be displayed on the new FCA Directory.

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:
2nd Floor 6-10
Whitfield Street
London
W1T 2RE
UNITED KINGDOM

Phone: 44 08001444731

Fax: 44 02075048026

Email: compliance@fisherinvestments.co.uk



Private Clent Director  Accredited Body  Statement of Professional Standarding (Issue date)
Sarah Barcock The Chartered Insurance Institute 01/08/2019
Steve Bevan The Chartered Insurance Institute 01/08/2019
Phil Blennerhassett The Chartered Institute for Securities and Investment 09/12/2019
Kirsty McBride The Chartered Insurance Institute 01/03/2019
Chris Eason The Chartered Institute for Securities and Investment 04/12/2019
David Giles The Chartered Insurance Institute 01/03/2019
Dominic Heaton The London Institute of Banking and Finance 19/02/2019
Richard Hull The Chartered Insurance Institute 01/07/2019
Jamie McIntyre The Chartered Insurance Institute 01/02/2019
Sonal Mehta CFA Society of the UK 01/01/2019
Andrew Mortimore The Chartered Insurance Institute 01/03/2019
Max Muirhead-Smith The Chartered Institute for Securities and Investment 15/02/2019
Kunal Patel The Chartered Insurance Institute 01/06/2019
John Rylands The Chartered Institute for Securities and Investment 31/12/2019
Angela Singh The Chartered Insurance Institute 05/09/2019
Nick Skelton The Chartered Institute for Securities and Investment 01/12/2019
Gary Tighe The Chartered Insurance Institute 01/09/2019
John Toll The Chartered Insurance Institute 01/03/2019
Adrian Tomaino The Chartered Insurance Institute 01/03/2019
Mark Whittle CFA Society of the UK 01/01/2019
Nick Wiseman The Chartered Institute for Securities and Investment 01/12/2019
Mark Woodhead The Chartered Insurance Institute 01/04/2019
Mark Woodland The Chartered Insurance Institute 01/10/2019
Jason Marsh The Chartered Insurance Institute 01/01/2019
George Markov The London Institute of Banking and Finance 01/08/2019
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.