Simon Henry Mooney

Watch for changes

Where they hold approval

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

AXA INVESTMENT MANAGERS UK LIMITED
FRN 119368
- [FCA CF] Manager of certification employee (since 5 Mar 2026)
- [FCA CF] Client dealing (since 1 Jan 2026)
BNP Paribas Asset Management UK Limited (no longer approved here)
FRN 170064
- [FCA CF] Client dealing (20 Jun 2022 to 31 Dec 2025)
State Street Global Advisors Limited (no longer approved here)
FRN 146665
- [FCA CF] Manager of certification employee (6 Jan 2021 to 13 May 2022)
- [FCA CF] Client dealing (9 Dec 2019 to 13 May 2022)
- CF30 Customer (24 Jul 2015 to 8 Dec 2019)
Schroders IS Limited (no longer approved here)
FRN 195028
- CF30 Customer (14 Oct 2008 to 13 May 2011)
Cavendish Securities PLC (no longer approved here)
FRN 416932
- CF30 Customer (1 Nov 2007 to 1 Sep 2008)
- CF21 Investment Adviser (7 Sep 2007 to 31 Oct 2007)

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.