Caroline India Gwendoline Alegre de La Soujeole

Watch for changes

Where they hold approval

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

SINGER CAPITAL MARKETS SECURITIES LIMITED
FRN 453676
- [FCA CF] Client dealing (since 20 Jul 2023)
CANACCORD GENUITY ASSET MANAGEMENT LIMITED (no longer approved here)
FRN 209741
- [FCA CF] Client dealing (2 Mar 2021 to 4 May 2023)
Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- CF30 Customer (27 Feb 2015 to 8 Dec 2019)
Cantor Fitzgerald Europe (no longer approved here)
FRN 149380
- CF30 Customer (6 Mar 2013 to 30 Sep 2014)

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.