Bhawandip Aujla

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- Appointed representative dealing with clients for which they require qualification (28 May 2021 to 31 Aug 2021)
- CF30 Customer (27 May 2021 to 31 Aug 2021)
Derek Mills (no longer approved here)
FRN 201744
- (3)Employed By (27 May 2021 to 31 Aug 2021)
AFH Independent Financial Services Limited (no longer approved here)
FRN 216704
- [FCA CF] Functions requiring qualifications (17 Feb 2020 to 5 Jan 2021)

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

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.