Michael John Paul Rock

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- Appointed representative dealing with clients for which they require qualification (16 Feb 2021 to 22 Dec 2023)
- CF30 Customer (15 Feb 2021 to 22 Dec 2023)
ARDU Ltd (no longer approved here)
FRN 726952
- (4)Employed By (15 Feb 2021 to 22 Dec 2023)
PFPNI LTD (no longer approved here)
FRN 601226
- SMF16 Compliance Oversight (9 Dec 2019 to 4 Feb 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Feb 2021)
- CF10 Compliance Oversight (9 Sep 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (9 Sep 2016 to 8 Dec 2019)
- CF30 Customer (7 Feb 2014 to 8 Dec 2019)
Honister Partners Ltd (no longer approved here)
FRN 502699
- Employed By (23 Jun 2009 to 30 Sep 2010)

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

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.