Simon John Stapleton

Watch for changes

Where they hold approval

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

THROGMORTON PRIVATE CAPITAL LIMITED (no longer approved here)
FRN 431157
- CF30 Customer (6 Jan 2012 to 24 Dec 2012)
Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- CF30 Customer (9 Nov 2010 to 15 Apr 2011)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (30 Aug 2006 to 3 Aug 2007)
- CF22 Investment Adviser (Trainee) (14 Feb 2006 to 30 Aug 2006)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (15 Nov 2005 to 28 Nov 2005)
- CF22 Investment Adviser (Trainee) (8 Sep 2004 to 15 Nov 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.