Robert James Dundas Finlay

Watch for changes

Where they hold approval

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

Shore Capital and Corporate Limited (no longer approved here)
FRN 146629
- [FCA CF] Client dealing (12 Mar 2021 to 5 Mar 2024)
- CF30 Customer (3 Apr 2019 to 8 Dec 2019)
STIFEL EUROPE LIMITED (no longer approved here)
FRN 178733
- (236)CF30 Customer (3 Sep 2014 to 29 Sep 2017)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF30 Customer (26 Mar 2012 to 27 Jul 2012)
CLSA (UK) (no longer approved here)
FRN 140836
- CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2004)

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

1 day ago
controlled function added: (236)CF30 Customer at STIFEL EUROPE LIMITED

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.