Nicholas Wall

Watch for changes

Where they hold approval

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

Natixis
FRN 206092
- [FCA CF] Client dealing (since 13 Dec 2022)
MUFG Securities EMEA plc (no longer approved here)
FRN 124512
- [FCA CF] Client dealing (30 Jun 2021 to 9 Sep 2022)
Ediphy Markets Ltd (no longer approved here)
FRN 823631
- [FCA CF] Client dealing (4 Jan 2021 to 21 May 2021)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (13 Mar 2019 to 8 Dec 2019)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF30 Customer (13 Mar 2019 to 8 Dec 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF21 Investment Adviser (4 Jan 2002 to 30 Jun 2004)

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.