Jack Phillips

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Where they hold approval

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

Cavendish Capital Markets Limited
FRN 467766
- SMF16 Compliance Oversight (since 15 Mar 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Mar 2024)
Cavendish Corporate Finance LLP
FRN 474794
- SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Mar 2024)
- SMF16 Compliance Oversight (since 15 Mar 2024)
Cavendish Securities PLC
FRN 416932
- SMF16 Compliance Oversight (since 22 Jun 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jun 2023)
- [FCA CF] Material risk taker (since 12 May 2021)
- [FCA CF] Material risk taker (3 Apr 2020 to 12 May 2021)

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.