Christopher John Wood

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Where they hold approval

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

HARBOUR ROCK CAPITAL LIMITED
FRN 754580
- CF1 Director (AR) (since 16 Apr 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Apr 2023)
- SMF16 Compliance Oversight (since 14 Apr 2023)
- SMF3 Executive Director (since 14 Apr 2023)
- [FCA CF] Manager of certification employee (3 Apr 2023 to 14 Apr 2023)
- [FCA CF] Significant management (3 Apr 2023 to 14 Apr 2023)
Prism Investments Limited
FRN 985711
- (3)Employed By (since 16 Apr 2025)
Monmouthshire Building Society (no longer approved here)
FRN 206052
- SMF16 Compliance Oversight (22 Apr 2022 to 10 Mar 2023)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- CF24 Pension Transfer Specialist (1 Dec 2001 to 11 May 2002)

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.