MAULIK PATEL

Watch for changes

Where they hold approval

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

First Avenue Partners LLP
FRN 453653
- CF30 Customer (since 16 Jun 2024)
- [FCA CF] Client dealing (since 3 Jun 2024)
First Avenue Partners (London) Limited
FRN 751523
- (11)Employed By (since 16 Jun 2024)
Tradition (UK) Limited (no longer approved here)
FRN 139200
- [FCA CF] Client dealing (21 Sep 2020 to 31 Mar 2024)
KROLL SECURITIES LTD. (no longer approved here)
FRN 466588
- CF30 Customer (16 May 2018 to 8 Dec 2019)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (12 May 2014 to 31 Oct 2017)

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.