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. 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.
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;
Phone: 44 08001444731
Fax: 44 02075048026
|Private Client Director||Accredited Body||Statement of Professional Standarding (Issue date)|
|Mark Allen||The Chartered Institute for Securities and Investment||17/02/2020|
|Philip Blennerhassett||The Chartered Institute for Securities and Investment||09/12/2019|
|Chris Eason||The Chartered Institute for Securities and Investment||4/12/2019|
|David Giles||The Chartered Insurance Institute||01/03/2020|
|Dominic Heaton||The London Institute of Banking and Finance||19/02/2020|
|George Markov||The London Institute of Banking and Finance||01/08/2019|
|Kirsty McBride||The Chartered Insurance Institute||01/03/2020|
|Jamie McIntyre||The Chartered Insurance Institute||01/02/2020|
|Sonal Mehta||CFA Society of the UK||01/01/2020|
|Andrew Mortimore||The Chartered Insurance Institute||01/03/2020|
|Kunal Patel||The Chartered Insurance Institute||01/06/2020|
|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||01/03/2020|
|Adrian Tomaino||The Chartered Insurance Institute||01/03/2020|
|Mark Whittle||CFA Society of the UK||01/01/2020|
|Nick Wiseman||The Chartered Institute for Securities and Investment||01/12/2019|
|Mark Woodhead||The Chartered Insurance Institute||01/04/2020|
|Private Client Executive||Accredited Body||Statement of Professional Standarding (Issue date)|
|Alex Porter||The Chartered Insurance Institute||01/12/2019|
|Oliver Snow||The Chartered Institute for Securities and Investment||28/01/2020|