Mark Kevin Ellis

Watch for changes

Where they hold approval

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

Clydesdale Bank Plc (no longer approved here)
FRN 121873
- CF30 Customer (24 Jun 2010 to 10 Aug 2011)
National Australia Bank Limited (no longer approved here)
FRN 141309
- CF30 Customer (24 Jun 2010 to 12 Aug 2011)
- CF26 Customer Trading (9 Aug 2002 to 18 May 2004)
- CF21 Investment Adviser (9 Aug 2002 to 18 May 2004)
Australia and New Zealand Banking Group Ltd (no longer approved here)
FRN 114151
- CF30 Customer (1 Nov 2007 to 9 Feb 2010)
- CF21 Investment Adviser (30 Nov 2005 to 31 Oct 2007)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF21 Investment Adviser (25 Jun 2004 to 4 Mar 2005)
Commonwealth Bank of Australia (no longer approved here)
FRN 139185
- CF21 Investment Adviser (1 Dec 2001 to 24 Jan 2002)

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.