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.

Pauline Audrey Gale
IRN PAG01198
- SMF3 Executive Director (9 Dec 2019 to 19 Feb 2021)
- CF10 Compliance Oversight (14 Jan 2011 to 12 Nov 2019)
- CF11 Money Laundering Reporting (15 Sep 2008 to 12 Nov 2019)
- CF1 Director (15 Sep 2008 to 8 Dec 2019)
- CF30 Customer (15 Sep 2008 to 8 Dec 2019)
- CF3 Chief Executive (15 Sep 2008 to 19 Apr 2018)
Peter William Hargreaves
IRN PWH01076
- CF1 Director (5 May 2006 to 13 May 2009)
Philip Andrew Bolton
IRN PAB01415
- SMF3 Executive Director (9 Dec 2019 to 28 May 2020)
- CF1 Director (25 Jan 2016 to 8 Dec 2019)
Rebecca Louise Thorpe
IRN RXT00479
- SMF9 Chair of the Governing Body (since 1 Oct 2025)
Richard Charles Gerwat
IRN RCG01074
- CF2 Non Executive Director (3 Feb 2010 to 12 Sep 2016)
Roland Mark Deller
IRN RMD01082
- CF1 Director (8 Sep 2008 to 1 Apr 2017)
- CF30 Customer (1 Nov 2007 to 1 Apr 2017)
- CF26 Customer Trading (5 May 2006 to 31 Oct 2007)
Sahar Haji
IRN SXH00069
- SMF16 Compliance Oversight (since 11 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Dec 2020)
Sally Margaret Gilding
IRN SMG01077
- CF2 Non Executive Director (17 May 2018 to 8 Dec 2019)
Samidha Savant
IRN SXS01755
- CF26 Customer Trading (28 Sep 2006 to 29 Jun 2007)
Shane Michael Hollywood
IRN SMH01192
- CF1 Director (5 May 2006 to 29 Jan 2018)

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.