Khawaja Faisal Rafi

Watch for changes

Where they hold approval

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

Exception Capital LLP
FRN 473719
- CF30 Customer (since 12 Jul 2024)
RisCura Solutions (UK) Limited
FRN 599052
- (3)Employed By (since 12 Jul 2024)
- (3)Employed By (11 Jul 2014 to 2 Jul 2024)
RGL Capital LLP (no longer approved here)
FRN 501656
- CF30 Customer (11 Jul 2014 to 2 Jul 2024)
Providentia Capital LLP (no longer approved here)
FRN 426749
- CF30 Customer (23 Feb 2012 to 23 Apr 2013)
Bramdean Asset Management LLP (no longer approved here)
FRN 410624
- CF30 Customer (1 Nov 2007 to 3 Sep 2008)
- CF21 Investment Adviser (5 Jan 2006 to 31 Oct 2007)
- CF27 Investment Management (5 Jan 2006 to 31 Oct 2007)

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.