Neil Simon Bongard

Watch for changes

Where they hold approval

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

Bongard Capital PLC (no longer approved here)
FRN 743990
- Employed By (14 Apr 2016 to 18 Nov 2016)
Kession Capital Limited (no longer approved here)
FRN 582160
- CF1 Director (AR) (10 Apr 2015 to 18 Nov 2016)
- CF30 Customer (10 Apr 2015 to 18 Nov 2016)
Swan Securities & Investments Limited (no longer approved here)
FRN 599711
- Employed By (1 Apr 2015 to 14 Apr 2016)
STIFEL EUROPE LIMITED (no longer approved here)
FRN 178733
- (136)CF30 Customer (26 Oct 2009 to 5 Feb 2010)
ADM Investor Services International Limited (no longer approved here)
FRN 148474
- CF30 Customer (4 Aug 2008 to 27 Feb 2009)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2002)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2002)

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

1 day ago
controlled function added: (136)CF30 Customer at STIFEL EUROPE 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.