Mark Capleton

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Where they hold approval

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

Merrill Lynch International
FRN 147150
- [FCA CF] Client dealing (since 7 Sep 2016)
Societe Generale (no longer approved here)
FRN 124866
- CF30 Customer (25 Jan 2010 to 9 Sep 2011)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (1 Nov 2007 to 26 Oct 2009)
- CF21 Investment Adviser (7 Sep 2005 to 31 Oct 2007)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF21 Investment Adviser (24 Jun 2003 to 25 Jul 2005)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2003)

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.