Neil Folan

Watch for changes

Where they hold approval

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

AAB Wealth Limited
FRN 608548
- [FCA CF] Manager of certification employee (since 10 May 2021)
- Responsible for Insurance Distribution (16 Jun 2020 to 23 Feb 2021)
- SMF16 Compliance Oversight (16 Jun 2020 to 26 Apr 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (16 Jun 2020 to 26 Apr 2021)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF21 Investment Adviser (16 Aug 2002 to 30 Aug 2004)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 16 Aug 2002)

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.