GAURAV Saroliya

Watch for changes

Where they hold approval

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

Allianz Global Investors UK Limited
FRN 959195
- [FCA CF] Client dealing (since 30 May 2023)
LOMBARD STREET RESEARCH FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 502674
- CF30 Customer (10 Nov 2014 to 21 Mar 2017)
Commerzbank AG (no longer approved here)
FRN 124920
- CF30 Customer (25 Jul 2012 to 28 Nov 2012)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (13 Dec 2010 to 17 Jul 2012)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (13 Dec 2010 to 17 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.