Mark Adrian Harris

Watch for changes

Where they hold approval

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

UBS AG
FRN 186958
- [FCA CF] Client dealing (since 7 Dec 2016)
Threadneedle Asset Management Limited (no longer approved here)
FRN 122194
- CF30 Customer (1 Nov 2007 to 3 Dec 2010)
- CF26 Customer Trading (14 Jul 2004 to 31 Oct 2007)
Threadneedle International Limited (no longer approved here)
FRN 143014
- CF30 Customer (1 Nov 2007 to 3 Dec 2010)
- CF26 Customer Trading (14 Jul 2004 to 31 Oct 2007)
Invesco Asset Management Limited (no longer approved here)
FRN 122674
- CF26 Customer Trading (1 Dec 2001 to 2 Jul 2004)

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.