Kuldip Singh Shergill

Watch for changes

Where they hold approval

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

Marble Bar Asset Management LLP (no longer approved here)
FRN 475857
- [FCA CF] Client dealing (19 Apr 2023 to 2 Oct 2024)
- [FCA CF] Material risk taker (19 Apr 2023 to 2 Oct 2024)
Cheyne Capital Management (UK) LLP (no longer approved here)
FRN 456864
- CF30 Customer (26 Jun 2014 to 28 Feb 2018)
- CF4 Partner (26 Jun 2014 to 28 Feb 2018)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF30 Customer (7 Mar 2014 to 15 May 2014)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF30 Customer (7 Mar 2014 to 15 May 2014)

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.