Guy Norman Barton

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Where they hold approval

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

Investment Funds Direct Limited
FRN 114432
- [FCA CF] Material risk taker (since 17 Aug 2023)
- SMF4 Chief Risk (2 Jul 2021 to 17 Aug 2023)
Prudential Lifetime Mortgages Limited
FRN 119350
- [FCA CF] Significant management (since 11 Aug 2022)
- SMF4 Chief Risk (24 Jul 2020 to 29 Dec 2022)
Prudential Distribution Limited
FRN 194709
- [FCA CF] Significant management (since 25 Feb 2022)
- SMF4 Chief Risk (24 Jul 2020 to 24 May 2022)
M&G Wealth Investments LLP
FRN 229445
- [FCA CF] Material risk taker (since 6 Jan 2022)
Prudential Pensions Limited
FRN 110434
- SMF4 Chief Risk (since 24 Jul 2020)
- [FCA CF] Significant management (10 Dec 2018 to 24 Jul 2020)
The Prudential Assurance Company Limited
FRN 139793
- SMF4 Chief Risk (since 24 Jul 2020)
- [FCA CF] Significant management (10 Dec 2018 to 24 Jul 2020)
M&G ADVICE PARTNERS LIMITED
FRN 584256
- SMF4 Chief Risk (since 24 Jul 2020)

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.