John Philip Monks

Watch for changes

Where they hold approval

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

SPF Private Clients Limited
FRN 189213
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 16 Aug 2024)
- [FCA CF] Functions requiring qualifications (since 16 Aug 2024)
Dowgate Capital Limited (no longer approved here)
FRN 146274
- [FCA CF] Client dealing (4 Jan 2023 to 9 Oct 2023)
Sberbank CIB (UK) Limited (no longer approved here)
FRN 228551
- [FCA CF] Client dealing (9 Mar 2020 to 31 Mar 2022)
- CF30 Customer (31 Oct 2016 to 8 Dec 2019)
Renaissance Capital Limited (no longer approved here)
FRN 186891
- CF30 Customer (5 Aug 2010 to 11 Oct 2016)
Avior Capital Markets International Limited (no longer approved here)
FRN 191074
- CF30 Customer (17 Sep 2009 to 31 Jul 2010)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (30 Nov 2002 to 29 Jul 2005)

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.