Barry Dent

Watch for changes

Where they hold approval

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

The Toronto-Dominion Bank
FRN 124859
- [FCA CF] Client dealing (since 7 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (20 Jun 2006 to 31 Oct 2007)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (299)CF21 Investment Adviser (7 Dec 2005 to 3 May 2006)
WINTERFLOOD SECURITIES LIMITED (no longer approved here)
FRN 141455
- CF26 Customer Trading (8 Mar 2005 to 1 Oct 2005)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF21 Investment Adviser (1 Dec 2001 to 24 Jan 2005)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF21 Investment Adviser (1 Dec 2001 to 24 Jan 2005)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (299)CF21 Investment Adviser at Novate Global Markets Limited

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.