Alexander Rupert West

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Where they hold approval

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

Puma Investment Management Limited
FRN 590919
- SMF3 Executive Director (since 5 May 2023)
- [FCA CF] Client dealing (since 19 Mar 2021)
- [FCA CF] Manager of certification employee (since 19 Mar 2021)
- CF1 Director (AR) (21 Mar 2025 to 25 Jul 2025)
- CF30 Customer (21 Mar 2025 to 25 Jul 2025)
- [FCA CF] Material risk taker (19 Mar 2021 to 23 Jul 2024)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF21 Investment Adviser (15 Jun 2007 to 18 Sep 2007)

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.