Nicola Gibbs

Watch for changes

Where they hold approval

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

James Brearley & Sons Limited
FRN 189219
- SMF16 Compliance Oversight (since 14 Oct 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Oct 2024)
Pilling & Co Stockbrokers Ltd (no longer approved here)
FRN 652114
- [FCA CF] CASS oversight function (12 Dec 2022 to 14 Aug 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 5 Apr 2024)
- CF10 Compliance Oversight (21 Jun 2017 to 8 Dec 2019)
- CF10a CASS Oversight function (30 Apr 2015 to 30 Mar 2016)

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.