Francois Bauhofer

Watch for changes

Where they hold approval

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

Southey Capital Ltd
FRN 711717
- [FCA CF] Client dealing (since 1 Jan 2021)
- CF30 Customer (17 Nov 2017 to 8 Dec 2019)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (16 Jun 2009 to 1 Oct 2013)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (12 Aug 2008 to 1 Oct 2013)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (262)CF21 Investment Adviser (12 Dec 2002 to 6 Mar 2003)

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

1 day ago
controlled function added: (262)CF21 Investment Adviser at Novate Global Markets 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.