Lishan Shi

Watch for changes

Where they hold approval

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

NatWest Markets Plc (no longer approved here)
FRN 121882
- [PRA CF] Significant risk taker or Material risk taker (13 Jul 2016 to 21 Aug 2020)
- [FCA CF] Client dealing (7 Mar 2016 to 1 Aug 2024)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Aug 2024)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (1 Nov 2007 to 8 Dec 2008)
- CF21 Investment Adviser (22 Nov 2005 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.