Nong Yan

Watch for changes

Where they hold approval

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

Nanhua Financial (UK) Co Limited
FRN 821609
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF3 Chief Executive (10 Jun 2019 to 8 Dec 2019)
- CF1 Director (10 Jun 2019 to 8 Dec 2019)
- CF30 Customer (10 Jun 2019 to 8 Dec 2019)
Sucden Financial Limited (no longer approved here)
FRN 114239
- CF30 Customer (1 Nov 2007 to 5 Dec 2012)
- CF21 Investment Adviser (26 Nov 2004 to 31 Oct 2007)
AMALGAMATED METAL TRADING LIMITED (no longer approved here)
FRN 113946
- CF21 Investment Adviser (18 Feb 2004 to 19 Oct 2004)
- CF22 Investment Adviser (Trainee) (29 Jul 2003 to 18 Feb 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.