Prateek Sharma

Watch for changes

Where they hold approval

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

RIVERTON HOME FINANCE LIMITED
FRN 1023724
- SMF3 Executive Director (since 15 Aug 2025)
Rothesay Life Plc
FRN 466067
- SMF6 Head of Key Business Areas (since 5 Feb 2021)
- [FCA CF] Material risk taker (10 Dec 2019 to 4 Feb 2021)
- CF30 Customer (27 Dec 2013 to 9 Dec 2018)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Nov 2007 to 27 Jul 2011)
- CF21 Investment Adviser (30 Sep 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.