Samuel John Underwood

Watch for changes

Where they hold approval

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

Mizuho Bank, Ltd. (no longer approved here)
FRN 139195
- [FCA CF] Client dealing (10 Nov 2023 to 28 Jun 2024)
Kyte Broking Limited (no longer approved here)
FRN 174863
- [FCA CF] Client dealing (6 Mar 2021 to 21 Feb 2023)
MAKOR SECURITIES LONDON LTD (no longer approved here)
FRN 625054
- [FCA CF] Client dealing (9 Dec 2019 to 29 Jul 2020)
- CF30 Customer (1 Feb 2019 to 8 Dec 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (26 Jul 2011 to 6 Mar 2016)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (8 Dec 2008 to 4 Nov 2010)

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.