Duncan Karl Farley

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Where they hold approval

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

RBC Global Asset Management (UK) Limited
FRN 189154
- [FCA CF] Client dealing (since 1 Apr 2023)
- [FCA CF] Material risk taker (1 Apr 2023 to 1 Apr 2026)
BlueBay Asset Management LLP (no longer approved here)
FRN 571599
- [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
- CF30 Customer (24 Mar 2018 to 8 Dec 2019)
King Street (Europe) LLP (no longer approved here)
FRN 432783
- CF30 Customer (7 Jan 2010 to 24 May 2013)
- CF4 Partner (7 Jan 2010 to 24 May 2013)
Threadneedle Asset Management Limited (no longer approved here)
FRN 122194
- CF27 Investment Management (1 Dec 2001 to 16 Jul 2005)

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.