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

Adrian Tomaino

The Chartered Insurance Institute

Alex Porter

The Chartered Insurance Institute

Andrew Lewis

The London Institute of Banking and Finance

Andrew Lumley-Holmes

The London Institute of Banking and Finance

Andrew Mortimore

The Chartered Insurance Institute

Angela Singh

The Chartered Insurance Institute

Anthony Donnelly

The Chartered Insurance Institute

Chris Eason

The Chartered Institute for Securities and Investment

David Giles

The Chartered Insurance Institute

Dominic Heaton

The London Institute of Banking and Finance

George Markov

The London Institute of Banking and Finance

Henry Betts

The Chartered Insurance Institute

Jamie McIntyre

The Chartered Insurance Institute

John Toll

The Chartered Insurance Institute

John Rylands

The Chartered Institute for Securities and Investment

Kirsty McBride

The Chartered Insurance Institute

Kunal Patel

The Chartered Insurance Institute

Mark Allen

The Chartered Institute for Securities and Investment

Mark Whittle

The London Institute of Banking and Finance

Mark Woodhead

The Chartered Insurance Institute

Michael Johnson

The Chartered Insurance Institute

Neil MacKay

The Chartered Institute for Securities and Investment

Nick Skelton

The Chartered Institute for Securities and Investment

Nick Wiseman

The Chartered Institute for Securities and Investment

Philip Blennerhassett

The Chartered Institute for Securities and Investment

Rachel Bleakley

The London Institute of Banking and Finance

Ruth Wilson

The Chartered Insurance Institute

Scott Duff

The Chartered Insurance Institute

Sonal Mehta

The London Institute of Banking and Finance

Private Client Executive Accredited Body

Alex Isaacs

The Chartered Institute for Securities and Investment

Jacob Wren

The Chartered Institute for Securities and Investment

Jake Deans

The Chartered Institute for Securities and Investment

Neal Drennan

The Chartered Institute for Securities and Investment

Oliver Snow

The Chartered Institute for Securities and Investment

Oliver Porter

The Chartered Institute for Securities and Investment

Pip Wilson

The Chartered Insurance Institute

Rishi Kotecha

The Chartered Institute for Securities and Investments

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.