Brian Kin Pong Liu

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
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- CF30 Customer (since 13 Jul 2024)
- Appointed representative dealing with clients for which they require qualification (since 19 Feb 2024)
Brian Kin Pong Liu
FRN 1016704
- Employed By (since 13 Jul 2024)
Symvan Capital Limited (no longer approved here)
FRN 685262
- CF30 Customer (3 Aug 2015 to 16 Oct 2015)
CSS Partners LLP (no longer approved here)
FRN 439800
- Employed By (6 Feb 2014 to 26 Jan 2015)
Charles Street Securities Europe LLP (no longer approved here)
FRN 483311
- CF30 Customer (6 Feb 2014 to 26 Jan 2015)

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.