Charles Carvell

Watch for changes

Where they hold approval

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

Fair Oaks Capital Ltd
FRN 604090
- [FCA CF] Material risk taker (since 18 Jul 2024)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (16 Nov 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (16 Nov 2015 to 8 Dec 2019)
WISDOMTREE UK LIMITED (no longer approved here)
FRN 538634
- CF1 Director (20 May 2011 to 9 Oct 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.