Lee Ray

Watch for changes

Where they hold approval

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

HSBC Global Asset Management (UK) Limited (no longer approved here)
FRN 122335
- [FCA CF] Client dealing (28 Feb 2020 to 4 Sep 2020)
- CF30 Customer (30 Apr 2012 to 8 Dec 2019)
The Bank of New York Mellon (no longer approved here)
FRN 122467
- CF30 Customer (30 Oct 2009 to 28 Apr 2011)
Blackfriars Asset Management Limited (no longer approved here)
FRN 180892
- CF30 Customer (1 Nov 2007 to 28 Apr 2011)
- CF21 Investment Adviser (5 Dec 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.