Nicholas Ian Humphrey ap Simon

Watch for changes

Where they hold approval

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

Nuveen Investment Management International Limited (no longer approved here)
FRN 141668
- [FCA CF] Client dealing (19 Oct 2022 to 28 Jun 2024)
Cross Ocean Adviser LLP (no longer approved here)
FRN 755396
- [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2022)
- CF30 Customer (28 Nov 2017 to 8 Dec 2019)
Ashmore Investment Advisors Limited (no longer approved here)
FRN 611412
- CF30 Customer (18 Jul 2014 to 31 Oct 2017)
Ashmore Investment Management Limited (no longer approved here)
FRN 185402
- CF30 Customer (27 Mar 2013 to 31 Oct 2017)
PARTNERS GROUP (UK) LIMITED (no longer approved here)
FRN 401307
- CF30 Customer (1 Mar 2008 to 1 May 2010)

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.