Kim Hochfeld

Watch for changes

Where they hold approval

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

State Street Global Advisors Limited
FRN 146665
- [FCA CF] Material risk taker (since 11 May 2020)
- [FCA CF] Client dealing (since 6 Apr 2020)
- [FCA CF] Manager of certification employee (since 6 Apr 2020)
Morgan Stanley Investment Management Limited (no longer approved here)
FRN 121920
- CF30 Customer (12 Mar 2014 to 8 Dec 2019)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (1 Oct 2010 to 31 Jan 2014)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF21 Investment Adviser (17 Dec 2002 to 27 Dec 2002)
- CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Dec 2002)

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.