OCORIAN (UK) LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Stockbroking

For Professional, Debenture
Runs Investment Funds
Holds Your Assets

For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

John Vincent Ventress
IRN JVV01004
- CF10 Compliance Oversight (5 May 2006 to 29 Oct 2010)
- CF1 Director (5 May 2006 to 29 Oct 2010)
Juliette Challenger
IRN JXC01288
- [FCA CF] Significant management (since 10 Nov 2023)
Kathryn Wilson
IRN KXW00498
- [FCA CF] Client dealing (since 15 Oct 2025)
Kristina Rowe
IRN KXR00296
- SMF1 Chief Executive (9 Oct 2023 to 27 Feb 2026)
Lindsay Anne Walker
IRN LAW01095
- CF30 Customer (6 Oct 2017 to 6 Aug 2018)
Lorrena Wilks
IRN LXW00372
- [FCA CF] Client dealing (since 1 Nov 2023)
Michael Henry Richardson
IRN MXR01600
- CF2 Non Executive Director (3 Feb 2010 to 30 May 2018)
Nicholas Blair Cawley
IRN NBC01007
- CF1 Director (5 May 2006 to 29 Jan 2018)
Nicholas Bland
IRN NXB00157
- [FCA CF] Client dealing (since 28 Jun 2024)
- [FCA CF] CASS oversight function (since 1 Jan 2023)
- [FCA CF] Significant management (since 9 Dec 2019)
Niraj Haria
IRN NXH01297
- [FCA CF] Significant management (21 Oct 2021 to 31 Oct 2022)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.