Sotheby's

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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.
Credit Brokering
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- · The firm is limited to credit broking as a supplier of goods or services (other than a domestic premises supplier) carried on for the purposes of, or in connection with, the sale of goods or supply of services by the firm to a customer (who need not be the borrower under the credit agreement or the hirer under the consumer hire agreement) and, unless the firm is a not-for profit body, under which the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land.

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

Cecilia Fletcher
IRN CXF12586
- SMF29 Limited scope function (limited scope SMCR firms only) (9 Dec 2019 to 3 Nov 2021)
- CF8 Apportionment and Oversight (20 May 2019 to 8 Dec 2019)
Joanne Teresa Monks
IRN JTM01096
- CF8 Apportionment and Oversight (24 May 2016 to 12 Mar 2019)
John Sulman
IRN JXS04034
- CF1 Director (AR) (since 18 Sep 2024)
Marco Toracca
IRN MXT00422
- SMF29 Limited scope function (limited scope SMCR firms only) (since 26 Oct 2022)
Suzanne Dixon-Brown
IRN SXD00464
- SMF29 Limited scope function (limited scope SMCR firms only) (since 20 Apr 2026)
stephen strickland
IRN SXS00825
- SMF29 Limited scope function (limited scope SMCR firms only) (8 Mar 2022 to 29 Sep 2022)

Smaller firms operating under this firm's FCA authorisation.

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.