Lisa Christou

Watch for changes

Where they hold approval

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

ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED
FRN 607483
- [FCA CF] Manager of certification employee (since 1 Nov 2023)
- [FCA CF] Client dealing (since 14 Aug 2023)
Cantor Fitzgerald Europe (no longer approved here)
FRN 149380
- [FCA CF] Client dealing (9 Dec 2019 to 20 Jan 2022)
- [FCA CF] Proprietary trader (9 Dec 2019 to 20 Jan 2022)
- CF30 Customer (13 Oct 2015 to 8 Dec 2019)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (14 Nov 2007 to 28 Feb 2014)
- CF21 Investment Adviser (21 May 2002 to 30 Sep 2005)

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.