Nigel James Unwin

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • CMC Markets UK plc (no longer approved here)

    FRN 173730

    • SMF18 Other Overall Responsibility (22 Dec 2023 to 1 May 2025)
    • [FCA CF] Significant management (1 Jul 2023 to 1 May 2025)
    • [FCA CF] CASS oversight function (13 Jun 2023 to 1 May 2025)
  • CMC Markets Investments Limited (no longer approved here)

    FRN 948126

    • [FCA CF] Significant management (13 Mar 2023 to 1 May 2025)
    • [FCA CF] CASS oversight function (13 Mar 2023 to 1 May 2025)
  • Investment Funds Direct Limited (no longer approved here)

    FRN 114432

    • [FCA CF] CASS oversight function (2 Nov 2020 to 31 Dec 2022)
    • [FCA CF] Significant management (2 Nov 2020 to 31 Dec 2022)
    • CF28 Systems and controls (1 Nov 2007 to 21 Apr 2008)
    • CF10 Compliance Oversight (21 Oct 2005 to 7 Apr 2006)
    • CF14 Risk Assessment (21 Oct 2005 to 31 Oct 2007)
    • CF13 Finance (21 Oct 2005 to 7 Apr 2006)
    • CF11 Money Laundering Reporting (21 Oct 2005 to 7 Apr 2006)
    • CF1 Director (21 Oct 2005 to 21 Apr 2008)

Recent activity

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

No changes recorded yet.