Simon Charles Waite

Watch for changes

Where they hold approval

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

Marshall Wace LLP
FRN 228531
- [FCA CF] Manager of certification employee (since 12 Oct 2021)
- [FCA CF] Client dealing (since 17 Mar 2021)
- [FCA CF] Material risk taker (17 Mar 2021 to 30 Sep 2021)
- CF30 Customer (26 May 2010 to 8 Dec 2019)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF23 Corporate Finance Adviser (15 Aug 2002 to 25 Apr 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.