Neil John Graham

Watch for changes

Where they hold approval

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

Cynergy Bank Plc (no longer approved here)
FRN 575105
- [FCA CF] Material risk taker (26 Jun 2024 to 21 Mar 2025)
- [FCA CF] Significant management (26 Jun 2024 to 21 Mar 2025)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (1 Nov 2007 to 17 Feb 2014)
- CF23 Corporate Finance Adviser (22 Nov 2005 to 31 Oct 2007)
3i Investments Plc (no longer approved here)
FRN 195262
- CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Dec 2001)

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.