Jeremy Ian Lock

Watch for changes

Where they hold approval

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

ARIA PRIVATE CLIENTS LIMITED (no longer approved here)
FRN 527557
- Responsibility for MCD Intermediation (18 Dec 2023 to 10 May 2024)
- SMF16 Compliance Oversight (18 Dec 2023 to 10 May 2024)
Openwork Limited (no longer approved here)
FRN 408285
- CF4 Partner (AR) (1 Jun 2005 to 30 Nov 2009)
Key Solutions Financial Services (no longer approved here)
FRN 222625
- (5)Employed By (17 Feb 2003 to 30 Nov 2009)
Key Solutions (no longer approved here)
FRN 214677
- (3)Employed By (15 Jan 2002 to 19 Dec 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.