John Joseph Phillips

Watch for changes

Where they hold approval

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

AK Jensen Investment Management Limited (no longer approved here)
FRN 622484
- [FCA CF] Client dealing (27 Sep 2023 to 26 Mar 2026)
Investment Funds Direct Limited (no longer approved here)
FRN 114432
- CF30 Customer (29 Mar 2019 to 8 Dec 2019)
Swiss Re Capital Markets Limited (no longer approved here)
FRN 187863
- CF21 Investment Adviser (5 Nov 2003 to 13 Nov 2004)
- CF26 Customer Trading (5 Nov 2003 to 13 Nov 2004)

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.