Alban Regis Thomas Roger

Watch for changes

Where they hold approval

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

West Point Derivatives Ltd (no longer approved here)
FRN 430967
- CF30 Customer (10 Feb 2014 to 20 Jun 2014)
- CF26 Customer Trading (9 Jan 2007 to 30 Sep 2007)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (1 Feb 2010 to 24 Mar 2011)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF30 Customer (27 Jan 2010 to 24 Mar 2011)
Vantage Capital Markets LLP (no longer approved here)
FRN 416697
- CF30 Customer (1 Nov 2007 to 31 Dec 2009)
- CF26 Customer Trading (1 Mar 2006 to 31 Mar 2006)
TFS Derivatives Limited (no longer approved here)
FRN 197244
- CF26 Customer Trading (20 Sep 2006 to 9 Nov 2006)

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.