Carl Joseph Shepherd

Watch for changes

Where they hold approval

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

LGPS Central Ltd
FRN 784958
- [FCA CF] Client dealing (since 27 Jan 2025)
- [FCA CF] Material risk taker (since 27 Jan 2025)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- [FCA CF] Client dealing (9 Dec 2019 to 23 Sep 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (26 Jun 2007 to 31 Oct 2007)
The Bank of New York Mellon (no longer approved here)
FRN 122467
- CF30 Customer (1 May 2009 to 6 Mar 2016)

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.