Harshed Soni

Watch for changes

Where they hold approval

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

Ultimate Financial Solutions Ltd
FRN 230900
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (24 May 2004 to 31 Mar 2009)
- CF1 Director (24 May 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (24 May 2004 to 8 Dec 2019)
- CF11 Money Laundering Reporting (24 May 2004 to 8 Dec 2019)
- CF21 Investment Adviser (24 May 2004 to 31 Oct 2007)
Howard Roark Finance & Insurance Services (1490) (no longer approved here)
FRN 170138
- (1)Employed By (1 Oct 1998 to 12 Aug 2004)

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.