Roger Philip Pett

Watch for changes

Where they hold approval

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

YFM Private Equity Limited (no longer approved here)
FRN 122120
- SMF9 Chair of the Governing Body (9 Dec 2019 to 1 Dec 2022)
- [FCA CF] Significant management (9 Dec 2019 to 1 Dec 2022)
- CF2 Non Executive Director (3 Apr 2017 to 8 Dec 2019)
- CF1 Director (23 Apr 2012 to 27 May 2016)
- CF11 Money Laundering Reporting (22 Feb 2012 to 27 May 2016)
- CF10 Compliance Oversight (22 Feb 2012 to 27 May 2016)
PFG-UK LTD. (no longer approved here)
FRN 401851
- CF23 Corporate Finance Adviser (10 May 2005 to 30 Dec 2005)

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.