Matthew John Kates

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Where they hold approval

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

Gulf International Bank (UK) Limited (no longer approved here)
FRN 124772
- [FCA CF] Client dealing (19 Jan 2023 to 4 Jul 2025)
- [FCA CF] Material risk taker (19 Jan 2023 to 4 Jul 2025)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (3 Aug 2010 to 12 Jun 2015)
Threadneedle International Limited (no longer approved here)
FRN 143014
- CF30 Customer (26 Jun 2008 to 9 Feb 2009)
Threadneedle Asset Management Limited (no longer approved here)
FRN 122194
- CF30 Customer (1 Nov 2007 to 9 Feb 2009)
- CF27 Investment Management (30 Mar 2007 to 31 Oct 2007)

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.