Charles Carlton

Watch for changes

Where they hold approval

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

Aviva Investors Global Services Limited (no longer approved here)
FRN 119178
- [FCA CF] Client dealing (28 Jul 2020 to 31 Jul 2023)
Corebridge Institutional Investments (Europe) Limited (no longer approved here)
FRN 500338
- CF1 Director (1 Jun 2016 to 5 Dec 2019)
- CF3 Chief Executive (1 Jun 2016 to 5 Dec 2019)
- CF30 Customer (4 Jan 2010 to 5 Dec 2019)
PineBridge Investments Europe Limited (no longer approved here)
FRN 122531
- CF30 Customer (1 Nov 2007 to 4 Jan 2010)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

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.