Nicholas Mockett

Last updated
2 weeks ago
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Where they hold approval

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

  • Moorgate Capital Group Ltd

    FRN 505208

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • CF3 Chief Executive (AR) (since 21 Jul 2025)
    • CF1 Director (AR) (since 21 Jul 2025)
    • CF30 Customer (since 21 Jul 2025)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (3 Jun 2010 to 8 Dec 2019)
    • CF1 Director (3 Jun 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jun 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jun 2010 to 8 Dec 2019)
    • CF3 Chief Executive (3 Jun 2010 to 8 Dec 2019)
  • Moorgate Capital Advisors Ltd

    FRN 572129

    • (1)Employed By (since 21 Jul 2025)
  • Europa Partners Limited (no longer approved here)

    FRN 194820

    • CF30 Customer (1 Nov 2007 to 9 Sep 2009)
    • CF23 Corporate Finance Adviser (20 Apr 2005 to 31 Oct 2007)
  • PricewaterhouseCoopers LLP (no longer approved here)

    FRN 221411

    • CF23 Corporate Finance Adviser (22 May 2003 to 19 Apr 2005)

Recent activity

Updates to this individual's record on the FCA register.

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