Nicholas Mark Kaufmann

Watch for changes

Where they hold approval

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

WOOD & Company Financial Services Ltd
FRN 978402
- SMF16 Compliance Oversight (since 15 Jun 2023)
- SMF3 Executive Director (since 15 Jun 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jun 2023)
- [FCA CF] Significant management (since 13 Jun 2023)
- [FCA CF] Client dealing (since 13 Jun 2023)
Access Equity Management Limited (no longer approved here)
FRN 207801
- CF30 Customer (1 Nov 2007 to 3 Mar 2014)
- CF23 Corporate Finance Adviser (8 Jan 2004 to 31 Oct 2007)
- CF1 Director (AR) (8 Jan 2004 to 3 Mar 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.