Neill Martin Penney

Watch for changes

Where they hold approval

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

Refinitiv Transaction Services Limited (no longer approved here)
FRN 206017
- SMF9 Chair of the Governing Body (16 Oct 2020 to 1 Jul 2024)
- SMF3 Executive Director (9 Dec 2019 to 1 Jul 2024)
- CF1 Director (12 Apr 2017 to 8 Dec 2019)
- CF3 Chief Executive (12 Apr 2017 to 30 Sep 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (26 Nov 2009 to 4 Apr 2013)

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.