Maxim James King

Watch for changes

Where they hold approval

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

Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- CF30 Customer (10 Jan 2018 to 8 Dec 2019)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (232)CF30 Customer (1 Nov 2007 to 8 Oct 2015)
- (233)CF21 Investment Adviser (3 Nov 2005 to 31 Oct 2007)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (232)CF30 Customer at Novate Global Markets Limited
1 day ago
controlled function added: (233)CF21 Investment Adviser at Novate Global Markets Limited

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.