Barry Graeme Wainwright

Watch for changes

Where they hold approval

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

Tradition (UK) Limited
FRN 139200
- SMF16 Compliance Oversight (since 25 Jul 2024)
TRADITION FINANCIAL SERVICES LTD.
FRN 147543
- SMF16 Compliance Oversight (since 25 Jul 2024)
TRADITION LONDON CLEARING LIMITED
FRN 190632
- SMF16 Compliance Oversight (since 25 Jul 2024)
TFS Derivatives Limited
FRN 197244
- SMF16 Compliance Oversight (since 25 Jul 2024)
Tradition Securities and Futures
FRN 982458
- SMF16 Compliance Oversight (since 25 Jul 2024)
Panmure Liberum Limited (no longer approved here)
FRN 403721
- SMF16 Compliance Oversight (9 Dec 2019 to 27 Dec 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Dec 2023)
- CF10a CASS Oversight function (16 Oct 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (16 Oct 2018 to 8 Dec 2019)
- CF10 Compliance Oversight (16 Oct 2018 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.