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 31^st 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;