Nicholas Kaplan

Watch for changes

Where they hold approval

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

Investec Bank PLC
FRN 172330
- [FCA CF] Client dealing (since 5 Mar 2026)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- [FCA CF] Client dealing (13 Jan 2022 to 17 Feb 2026)
Citibank, N.A. (no longer approved here)
FRN 124704
- [FCA CF] Client dealing (13 Jan 2022 to 17 Feb 2026)
Citibank Europe plc (no longer approved here)
FRN 211646
- [FCA CF] Client dealing (13 Jan 2022 to 17 Feb 2026)
Sapia Partners LLP (no longer approved here)
FRN 550103
- CF30 Customer (2 Jul 2019 to 1 Apr 2022)
Arma Partners LLP (no longer approved here)
FRN 454270
- CF30 Customer (4 Jul 2018 to 5 Aug 2018)

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.