Nicola Harte

Watch for changes

Where they hold approval

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

Archax Ltd (no longer approved here)
FRN 838656
- CF30 Customer (22 Nov 2022 to 3 Apr 2024)
Archax Capital Ltd (no longer approved here)
FRN 986657
- (2)Employed By (22 Nov 2022 to 3 Apr 2024)
INDOS FINANCIAL LIMITED (no longer approved here)
FRN 602528
- [FCA CF] CASS oversight function (9 Dec 2019 to 28 Feb 2022)
- CF10a CASS Oversight function (2 Jul 2019 to 8 Dec 2019)

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.