Neil Davies

Watch for changes

Where they hold approval

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

Close Brothers Limited (no longer approved here)
FRN 124750
- Responsible for Insurance Distribution (22 Apr 2021 to 9 Aug 2023)
- SMF18 Other Overall Responsibility (22 Apr 2021 to 9 Aug 2023)
- [FCA CF] Material risk taker (7 Mar 2016 to 22 Apr 2021)
NOVITAS LOANS LIMITED (no longer approved here)
FRN 716962
- (18)[FCA CF] Material risk taker (18 Mar 2021 to 13 Dec 2023)

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

1 day ago
controlled function added: (18)[FCA CF] Material risk taker at NOVITAS LOANS 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.