Joseph Plank

Watch for changes

Where they hold approval

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

Baring International Investment Limited
FRN 122628
- [FCA CF] Manager of certification employee (since 23 Dec 2024)
- [FCA CF] Client dealing (since 2 Oct 2024)
Baring Asset Management Limited
FRN 170601
- [FCA CF] Manager of certification employee (since 23 Dec 2024)
- [FCA CF] Client dealing (since 2 Oct 2024)
SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- [FCA CF] Manager of certification employee (1 Jul 2021 to 19 Oct 2021)
- [FCA CF] Client dealing (1 Jul 2021 to 19 Oct 2021)
Sumitomo Mitsui Banking Corporation, London Branch (no longer approved here)
FRN 769072
- [FCA CF] Client dealing (12 Jan 2018 to 19 Oct 2021)
- [FCA CF] Manager of certification employee (12 Jan 2018 to 19 Oct 2021)
SMBC Bank International plc (no longer approved here)
FRN 223304
- [FCA CF] Client dealing (7 Sep 2016 to 19 Oct 2021)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 19 Oct 2021)

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.