Bhavya Babel

Watch for changes

Where they hold approval

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

HSBC Bank Plc
FRN 114216
- [FCA CF] Manager of certification employee (since 15 Jul 2024)
- [FCA CF] Client dealing (since 24 Mar 2021)
MAKOR SECURITIES LONDON LTD (no longer approved here)
FRN 625054
- [FCA CF] Client dealing (5 Oct 2020 to 28 Feb 2021)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF21 Investment Adviser (3 Mar 2004 to 31 Aug 2007)
- CF22 Investment Adviser (Trainee) (23 Oct 2003 to 3 Mar 2004)

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.