Oliver John Carter

Watch for changes

Where they hold approval

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

M&G Investment Management Limited
FRN 119328
- [FCA CF] Client dealing (since 28 Aug 2020)
- CF30 Customer (21 Dec 2018 to 8 Dec 2019)
M&G ADVICE PARTNERS LIMITED (no longer approved here)
FRN 584256
- [FCA CF] Client dealing (28 Aug 2020 to 29 Aug 2020)
M&G Alternatives Investment Management Limited (no longer approved here)
FRN 122011
- CF30 Customer (21 Dec 2018 to 3 Jan 2019)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (12 Dec 2013 to 6 Mar 2016)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (12 Dec 2013 to 6 Mar 2016)
Mizuho International plc (no longer approved here)
FRN 119256
- CF30 Customer (22 Apr 2013 to 18 Oct 2013)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (1 Nov 2007 to 24 Apr 2013)
- CF21 Investment Adviser (8 Jul 2004 to 31 Oct 2007)

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.