Maxim Harold Hartley

Watch for changes

Where they hold approval

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

Canaccord Genuity Limited
FRN 182011
- [FCA CF] Client dealing (since 13 Dec 2021)
Cavendish Securities PLC (no longer approved here)
FRN 416932
- [FCA CF] Material risk taker (18 Mar 2021 to 26 Jun 2021)
- [FCA CF] Client dealing (9 Dec 2019 to 26 Jun 2021)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF22 Investment Adviser (Trainee) (3 Aug 2006 to 31 Oct 2007)
- CF23 Corporate Finance Adviser (3 Aug 2006 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.