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:
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.
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.
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: |
Phone: 44 08001444731 Fax: 44 02075048026 |
| 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 |
|
Simon Daniels |
The Chartered Institute for Securities and Investment |
21/06/2021 |
|
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 |
|
Hussain Bhaiji |
The London Institute of Banking and Finance |
24/02/2021 |
|
Jacob Wren |
The Chartered Institute for Securities and Investment |
05/07/2021 |
|
Neal Drennan |
The Chartered Institute for Securities and Investment |
01/12/2020 |
|
Oliver Snow |
The Chartered Institute for Securities and Investment |
28/01/2021 |
|
Oliver Porter |
The Chartered Institute for Securities and Investment |
15/03/2021 |