Charles William Alexander Southern

Watch for changes

Where they hold approval

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

Devon Equity Management Limited
FRN 841960
- [FCA CF] Material risk taker (since 9 Mar 2021)
- [FCA CF] Client dealing (since 9 Jan 2021)
River Global Investors LLP
FRN 453087
- [FCA CF] Client dealing (since 1 Jan 2021)
- [FCA CF] Material risk taker (1 Jan 2021 to 2 Jan 2021)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- CF30 Customer (11 Apr 2013 to 7 Jun 2013)
Goldman Sachs Bank USA (no longer approved here)
FRN 582328
- CF30 Customer (21 Mar 2013 to 7 Jun 2013)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (9 Nov 2009 to 30 Nov 2010)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (9 Nov 2009 to 30 Nov 2010)

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.