Shintaro Mori

Watch for changes

Where they hold approval

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

Pemberton Capital Advisors LLP
FRN 561640
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (2 Mar 2022 to 23 Feb 2024)
- CF30 Customer (4 Dec 2017 to 8 Dec 2019)
Sumitomo Mitsui Trust Bank, Limited (no longer approved here)
FRN 124855
- CF30 Customer (27 Jan 2016 to 6 Mar 2016)

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.