Alain Mandy

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Wellington Management International Limited (no longer approved here)
FRN 208573
- [FCA CF] Client dealing (9 Dec 2019 to 22 Dec 2023)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Nov 2022)
SFC Capital Partners Ltd (no longer approved here)
FRN 736284
- Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 9 Mar 2024)
- CF2 Non Executive Director (19 Dec 2016 to 8 Dec 2019)

Updates to this individual'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. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

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