Simon James Dooley

Watch for changes

Where they hold approval

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

Vantage Capital Markets LLP (no longer approved here)
FRN 416697
- [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2020)
- CF30 Customer (8 Oct 2019 to 8 Dec 2019)
Gallardo Securities Limited (no longer approved here)
FRN 724231
- CF30 Customer (24 Oct 2018 to 5 Feb 2019)
TFS Derivatives Limited (no longer approved here)
FRN 197244
- CF30 Customer (20 Jun 2013 to 18 May 2016)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (11 Apr 2012 to 16 Apr 2013)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF30 Customer (11 Apr 2012 to 16 Apr 2013)
Haitong International (UK) Limited (no longer approved here)
FRN 196482
- CF30 Customer (24 Dec 2009 to 30 Jun 2011)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (14 Apr 2008 to 11 Jun 2008)

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.