Carl Owen Moxley

Watch for changes

Where they hold approval

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

Legal and General Assurance Society Limited
FRN 117659
- SMF7 Group Entity Senior Manager (since 7 Sep 2023)
- [FCA CF] Significant management (10 Dec 2018 to 7 Sep 2023)
- [PRA CF] Significant risk taker or Material risk taker (10 Dec 2018 to 7 Sep 2023)
Legal and General Assurance (Pensions Management) Limited
FRN 202202
- SMF7 Group Entity Senior Manager (since 7 Sep 2023)
Swiss Re Capital Markets Limited (no longer approved here)
FRN 187863
- CF30 Customer (10 Oct 2008 to 29 Sep 2009)
Mercer Limited (no longer approved here)
FRN 121935
- CF22 Investment Adviser (Trainee) (25 Apr 2003 to 25 Nov 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.