Matthew Stevens

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Where they hold approval

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

Morningstar Wealth Retirement Services Limited
FRN 462660
- SMF16 Compliance Oversight (since 1 Feb 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Feb 2024)
Morningstar Wealth Administration Limited
FRN 463566
- SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Feb 2024)
- SMF16 Compliance Oversight (since 1 Feb 2024)
Morningstar Investment Management Europe Limited
FRN 449468
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF11 Money Laundering Reporting (26 Jul 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (26 Jul 2019 to 8 Dec 2019)
BROWN BROTHERS HARRIMAN INVESTOR SERVICES LTD. (no longer approved here)
FRN 190266
- CF10 Compliance Oversight (8 Feb 2013 to 23 Mar 2019)
- CF11 Money Laundering Reporting (8 Feb 2013 to 23 Mar 2019)

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.