Mathieu Gael Bernard

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Where they hold approval

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

AXM ALTERNATIVE INVESTMENTS LTD
FRN 942585
- SMF3 Executive Director (since 18 Aug 2025)
- [FCA CF] Client dealing (since 3 Jan 2025)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (9 Jul 2009 to 10 Nov 2015)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Nov 2007 to 9 Apr 2009)
- CF21 Investment Adviser (14 Oct 2005 to 31 Oct 2007)
CLSA (UK) (no longer approved here)
FRN 140836
- CF26 Customer Trading (1 Dec 2001 to 12 Sep 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.