Elizabeth Mary Broughton

Watch for changes

Where they hold approval

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

Investec Bank PLC
FRN 172330
- SMF5 Head of Internal Audit (since 7 Mar 2016)
- CF28 Systems and controls (15 Jun 2015 to 6 Mar 2016)
Mann Island Finance Limited (no longer approved here)
FRN 661294
- CF28 Systems and controls (16 Mar 2017 to 8 Dec 2019)
MI Vehicle Finance Limited (no longer approved here)
FRN 718729
- CF28 Systems and controls (30 Aug 2016 to 8 Dec 2019)
CF Corporate Finance Limited (no longer approved here)
FRN 718242
- CF28 Systems and controls (1 Aug 2016 to 8 Dec 2019)
Quantum Funding Limited (no longer approved here)
FRN 695480
- CF28 Systems and controls (19 Apr 2016 to 8 Dec 2019)
Investec Asset Finance Plc (no longer approved here)
FRN 697349
- CF28 Systems and controls (1 Apr 2016 to 8 Dec 2019)
NINETY ONE UK LIMITED (no longer approved here)
FRN 122420
- CF28 Systems and controls (9 Jul 2015 to 3 Oct 2019)
Ninety One Fund Managers UK Limited (no longer approved here)
FRN 145007
- CF28 Systems and controls (9 Jul 2015 to 3 Oct 2019)

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.