Shaun Pratley

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Where they hold approval

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

Jarvis Investment Management Limited
FRN 116413
- SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Apr 2025)
- SMF16 Compliance Oversight (since 2 Apr 2025)
CCBI GLOBAL MARKETS (UK) LIMITED (no longer approved here)
FRN 110134
- CF11 Money Laundering Reporting (26 Apr 2017 to 3 Aug 2018)
- CF10 Compliance Oversight (13 Oct 2016 to 3 Aug 2018)
Mitsui Bussan Commodities Ltd (no longer approved here)
FRN 469094
- CF11 Money Laundering Reporting (14 Nov 2011 to 27 Sep 2016)
- CF10 Compliance Oversight (14 Nov 2011 to 27 Sep 2016)
CHARLES SCHWAB, U.K., LIMITED (no longer approved here)
FRN 225116
- CF8 Apportionment and Oversight (19 Sep 2003 to 26 Jan 2004)

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.