Gavin Simon Phillips

Watch for changes

Where they hold approval

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

Strata Global Limited (no longer approved here)
FRN 563834
- CF30 Customer (22 Mar 2022 to 25 Nov 2022)
King Street (Europe) LLP (no longer approved here)
FRN 432783
- CF30 Customer (9 May 2016 to 8 Dec 2019)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (14 Dec 2012 to 23 Feb 2016)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (9 Mar 2009 to 15 Oct 2012)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (1 Nov 2007 to 6 Jan 2009)
- CF21 Investment Adviser (7 Apr 2004 to 31 Oct 2007)

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.