Michael Warren Balfour

Watch for changes

Where they hold approval

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

TPT Investment Management Limited
FRN 988881
- SMF9 Chair of the Governing Body (since 7 Aug 2023)
CG Wealth Planning Limited (no longer approved here)
FRN 594155
- CF30 Customer (22 Dec 2014 to 1 Feb 2016)
- CF1 Director (4 Dec 2014 to 1 Feb 2016)
- CF3 Chief Executive (4 Dec 2014 to 1 Feb 2016)
Thomas Miller Investment Ltd. (no longer approved here)
FRN 189829
- CF3 Chief Executive (11 Nov 2010 to 1 Feb 2016)
- CF1 Director (28 Jul 2009 to 1 Feb 2016)
- CF30 Customer (28 Jul 2009 to 1 Feb 2016)
RIA Capital Markets Limited (no longer approved here)
FRN 219706
- CF2 Non Executive Director (4 Feb 2003 to 25 Aug 2004)

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.