Jonathan Kwok

Watch for changes

Where they hold approval

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

Numis Securities Limited (no longer approved here)
FRN 144822
- CF30 Customer (30 Sep 2008 to 18 Mar 2011)
Panmure Liberum Limited (no longer approved here)
FRN 403721
- CF21 Investment Adviser (11 Feb 2005 to 24 Jul 2006)
Lazard & Co., Limited (no longer approved here)
FRN 114054
- CF21 Investment Adviser (9 Aug 2004 to 6 May 2005)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF21 Investment Adviser (10 Jan 2002 to 7 May 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.