Nicholas Leonard Williams

Watch for changes

Where they hold approval

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

TP ICAP E&C Limited
FRN 146880
- [FCA CF] Client dealing (since 20 May 2024)
Evolution Markets Limited (no longer approved here)
FRN 224510
- [FCA CF] Client dealing (9 Dec 2019 to 20 Nov 2023)
- CF30 Customer (30 Oct 2014 to 8 Dec 2019)
TFS Derivatives Limited (no longer approved here)
FRN 197244
- CF30 Customer (22 Oct 2012 to 30 Jun 2014)
TRADITION FINANCIAL SERVICES LTD. (no longer approved here)
FRN 147543
- CF30 Customer (7 Mar 2012 to 30 Jun 2014)

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.