Sameer Kotadia

Watch for changes

Where they hold approval

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

Baring International Investment Limited
FRN 122628
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (29 Nov 2017 to 8 Dec 2019)
Baring Asset Management Limited
FRN 170601
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (29 Nov 2017 to 8 Dec 2019)
BARINGS (U.K.) LIMITED
FRN 194662
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (29 Nov 2017 to 8 Dec 2019)
JULIAN HARRIS ADVISER NETWORK LIMITED (no longer approved here)
FRN 304155
- [FCA CF] Functions requiring qualifications (25 Mar 2022 to 1 Feb 2023)
AllianceBernstein Limited (no longer approved here)
FRN 147956
- CF26 Customer Trading (16 Jan 2004 to 25 Jan 2006)

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.