Connor Maxwell

Watch for changes

Where they hold approval

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

Moelis & Company London Limited
FRN 1018987
- [FCA CF] Client dealing (since 25 Feb 2026)
ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED (no longer approved here)
FRN 607483
- [FCA CF] Client dealing (1 Jan 2026 to 16 Jan 2026)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- [FCA CF] Client dealing (12 Apr 2022 to 16 Jan 2026)
Rothschild & Co Equity Markets Solutions Limited (no longer approved here)
FRN 950811
- (44)[FCA CF] Client dealing (12 Apr 2022 to 16 Jan 2026)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (44)[FCA CF] Client dealing at Rothschild & Co Equity Markets Solutions Limited

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.