Duncan Lake

Watch for changes

Where they hold approval

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

RBC Europe Limited
FRN 124543
- [FCA CF] Client dealing (since 1 Apr 2016)
- CF30 Customer (1 Feb 2016 to 6 Mar 2016)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF30 Customer (1 Feb 2016 to 6 Mar 2016)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (10 Nov 2014 to 10 Aug 2015)
Societe Generale (no longer approved here)
FRN 124866
- CF30 Customer (29 Aug 2012 to 15 May 2014)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (28 Jan 2008 to 19 Jul 2012)

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.