Mark Simon De Ste Croix

Watch for changes

Where they hold approval

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

RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)
FRN 194713
- SMF16 Compliance Oversight (9 Dec 2019 to 3 Sep 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Sep 2024)
- CF10 Compliance Oversight (30 Sep 2010 to 8 Dec 2019)
- CF11 Money Laundering Reporting (30 Sep 2010 to 8 Dec 2019)
- CF29 Significant management (7 Dec 2009 to 8 Dec 2019)
MORTGAGE INTELLIGENCE LIMITED (no longer approved here)
FRN 305330
- Responsible for Insurance Mediation (14 Jan 2005 to 1 Sep 2006)
- CF17 Significant Mgt (Other Business Operations) (31 Oct 2004 to 1 Sep 2006)

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.