Mohit Gupta

Watch for changes

Where they hold approval

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

Mariana UFP LLP (no longer approved here)
FRN 551170
- [FCA CF] Client dealing (21 Aug 2023 to 2 Jun 2025)
Credit Agricole Corporate and Investment Bank (no longer approved here)
FRN 124344
- CF30 Customer (3 Dec 2012 to 6 Mar 2016)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (1 Nov 2007 to 10 Sep 2012)
- CF21 Investment Adviser (16 Jun 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (10 Nov 2005 to 15 Jun 2006)

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.