Mark David Lacey

Watch for changes

Where they hold approval

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

Northern Trust Global Services SE
FRN 829966
- SMF22 Other Local Responsibility (since 10 Nov 2022)
- [FCA CF] Material risk taker (25 Mar 2021 to 9 Jul 2021)
- [FCA CF] Significant management (25 Mar 2021 to 10 Jan 2023)
Northern Trust Investor Services Limited
FRN 927658
- SMF24 Chief Operations (since 19 May 2021)
Northern Trust Securities LLP
FRN 465131
- [FCA CF] Significant management (since 1 Mar 2020)
- [FCA CF] Material risk taker (since 1 Mar 2020)
Northern Trust Global Investments Limited
FRN 191916
- SMF24 Chief Operations (since 9 Dec 2019)
- CF29 Significant management (8 Oct 2014 to 8 Dec 2019)
The Northern Trust Company
FRN 122020
- SMF22 Other Local Responsibility (since 7 Mar 2016)
- CF29 Significant management (8 Oct 2014 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.