Daniel Thomas Nicholls

Watch for changes

Where they hold approval

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

Hermes Investment Management Ltd
FRN 150000
- [FCA CF] Material risk taker (since 1 Mar 2022)
- [FCA CF] Client dealing (since 1 Mar 2020)
- [FCA CF] Manager of certification employee (since 1 Mar 2020)
- CF30 Customer (14 Aug 2015 to 8 Dec 2019)
Silphium Asset Management Limited (no longer approved here)
FRN 519233
- CF30 Customer (19 Sep 2011 to 14 Jan 2015)
Bloomberg Tradebook Europe Limited (no longer approved here)
FRN 187492
- CF30 Customer (23 Sep 2010 to 9 Sep 2011)

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.