Benjamin James Lock

Watch for changes

Where they hold approval

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

TP ICAP Markets Limited
FRN 124520
- [FCA CF] Client dealing (since 2 Feb 2026)
Liquidnet Europe Limited (no longer approved here)
FRN 198039
- [FCA CF] Client dealing (9 Dec 2019 to 27 Feb 2026)
- CF30 Customer (1 Nov 2017 to 8 Dec 2019)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF30 Customer (1 Nov 2007 to 22 May 2008)
- CF21 Investment Adviser (6 Jun 2007 to 31 Oct 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.