Gerald Stewart Warwick

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Where they hold approval

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

OCORIAN (UK) LIMITED
FRN 448652
- SMF3 Executive Director (since 19 Feb 2021)
OCORIAN DEPOSITARY (UK) LIMITED
FRN 606784
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF9 Chair of the Governing Body (27 Jan 2021 to 31 Mar 2026)
- CF3 Chief Executive (16 Oct 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (25 Apr 2018 to 3 May 2019)
- CF1 Director (14 Jul 2014 to 8 Dec 2019)
KROLL SECURITIES LTD. (no longer approved here)
FRN 466588
- CF1 Director (AR) (19 Jan 2024 to 13 Jun 2024)
HOOPP THAMES LIMITED (no longer approved here)
FRN 1006632
- (3)Employed By (19 Jan 2024 to 13 Jun 2024)

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.