Iwan Marais

Watch for changes

Where they hold approval

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

UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- [FCA CF] Client dealing (27 Aug 2020 to 5 Jul 2021)
- CF30 Customer (6 Jun 2016 to 8 Dec 2019)
State Street Global Advisors Limited (no longer approved here)
FRN 146665
- CF30 Customer (29 Nov 2012 to 26 Feb 2016)
Western Asset Management Company Limited (no longer approved here)
FRN 145930
- CF30 Customer (9 Jul 2009 to 27 Jul 2012)

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.