John Farrugia

Watch for changes

Where they hold approval

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

Cavendish Securities PLC
FRN 416932
- SMF3 Executive Director (since 19 Apr 2024)
Cavendish Capital Markets Limited
FRN 467766
- SMF3 Executive Director (since 19 Apr 2024)
- SMF1 Chief Executive (1 Sep 2022 to 23 May 2024)
Cavendish Corporate Finance LLP
FRN 474794
- SMF27 Partner (since 14 Dec 2020)
- CF4 Partner (22 Feb 2016 to 5 Dec 2018)
- CF30 Customer (1 Dec 2008 to 13 Apr 2011)
Strata Technology Partners LLP (no longer approved here)
FRN 219675
- CF30 Customer (1 Nov 2007 to 1 Nov 2008)
- CF23 Corporate Finance Adviser (20 Oct 2003 to 31 Oct 2007)
Daiwa Corporate Advisory Limited (no longer approved here)
FRN 175853
- CF23 Corporate Finance Adviser (1 Dec 2001 to 20 Dec 2002)

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.