Gwen Rhys Bateman

Watch for changes

Where they hold approval

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

HRC Innovative Financial Planning Ltd (no longer approved here)
FRN 224140
- (6)Employed By (19 Mar 2010 to 17 Jan 2012)
LEBC Group Ltd (no longer approved here)
FRN 191818
- Employed By (1 Nov 2007 to 30 Jun 2008)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (17 Sep 2007 to 15 Oct 2007)
- CF22 Investment Adviser (Trainee) (17 Apr 2007 to 17 Sep 2007)
David McLaughlin (no longer approved here)
FRN 464490
- Employed By (17 Apr 2007 to 15 Oct 2007)
Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- CF21 Investment Adviser (16 Jan 2006 to 31 Jul 2006)
WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 134753
- CF21 Investment Adviser (1 Dec 2001 to 10 Nov 2003)

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.