Iain Stephen Vaughan

Watch for changes

Where they hold approval

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

Northern Trust Securities LLP (no longer approved here)
FRN 465131
- [FCA CF] Manager of certification employee (8 Aug 2024 to 1 Sep 2025)
- [FCA CF] Material risk taker (2 Oct 2023 to 1 Sep 2025)
- [FCA CF] Client dealing (1 Mar 2020 to 1 Sep 2025)
- CF30 Customer (8 Jan 2018 to 8 Dec 2019)
State Street Global Markets International Limited (no longer approved here)
FRN 194525
- CF30 Customer (1 Nov 2007 to 3 Jan 2018)
- CF21 Investment Adviser (4 Dec 2006 to 31 Oct 2007)

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.