Simon Garcia

Watch for changes

Where they hold approval

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

Societe Generale (no longer approved here)
FRN 124866
- [FCA CF] Client dealing (7 Mar 2016 to 9 Sep 2019)
- CF30 Customer (15 Jan 2010 to 6 Mar 2016)
KNG Securities LLP (no longer approved here)
FRN 402459
- CF30 Customer (5 Mar 2009 to 25 Nov 2009)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (5 Aug 2008 to 19 Jan 2009)
Haitong International (UK) Limited (no longer approved here)
FRN 196482
- CF30 Customer (23 Jun 2008 to 9 Jul 2008)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF21 Investment Adviser (1 Dec 2001 to 30 Mar 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.