Nicholas Michael Busby

Watch for changes

Where they hold approval

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

RATHBONES ASSET MANAGEMENT LIMITED (no longer approved here)
FRN 144266
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Jun 2022)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2024)
- CF1 Director (1 Apr 2014 to 8 Jan 2018)
- CF10 Compliance Oversight (1 Oct 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Oct 2013 to 8 Dec 2019)
- CF10a CASS Oversight function (25 Jan 2013 to 7 Jan 2019)
Canada Life Limited (no longer approved here)
FRN 110394
- CF11 Money Laundering Reporting (29 Jan 2003 to 8 Jun 2007)
Canada Life Asset Management Limited (no longer approved here)
FRN 194570
- CF11 Money Laundering Reporting (29 Jan 2003 to 8 Jun 2007)

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.