Ludovic Nicolas Roland Walter

Watch for changes

Where they hold approval

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

Sona Asset Management (UK) LLP
FRN 814191
- [FCA CF] Client dealing (since 13 Sep 2024)
SFM UK Management LLP (no longer approved here)
FRN 486382
- CF30 Customer (10 Jan 2019 to 8 Dec 2019)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (23 Dec 2015 to 6 Mar 2016)

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.