Hugh Mark Wauton

Watch for changes

Where they hold approval

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

Sapia Partners LLP (no longer approved here)
FRN 550103
- CF1 Director (AR) (28 Jun 2017 to 8 Jun 2018)
- CF30 Customer (28 Jun 2017 to 8 Jun 2018)
Yes Growth Ltd (no longer approved here)
FRN 615031
- Employed By (28 Jun 2017 to 8 Jun 2018)
Aviva Investors Global Services Limited (no longer approved here)
FRN 119178
- CF30 Customer (8 Oct 2009 to 13 Dec 2013)
UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2003)
- CF27 Investment Management (1 Dec 2001 to 31 Mar 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.