Simon Marc Schaffer

Watch for changes

Where they hold approval

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

SHORE CAPITAL STOCKBROKERS LIMITED
FRN 124784
- [FCA CF] Client dealing (since 12 Mar 2021)
- CF30 Customer (18 May 2009 to 8 Dec 2019)
STIFEL EUROPE LIMITED (no longer approved here)
FRN 178733
- (172)CF30 Customer (19 Jan 2009 to 2 Apr 2009)
Numis Securities Limited (no longer approved here)
FRN 144822
- CF30 Customer (3 Jan 2008 to 10 Oct 2008)
Panmure Liberum Limited (no longer approved here)
FRN 403721
- CF21 Investment Adviser (11 Feb 2005 to 11 May 2005)
Lazard & Co., Limited (no longer approved here)
FRN 114054
- CF21 Investment Adviser (12 Jan 2004 to 6 May 2005)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (172)CF30 Customer at STIFEL EUROPE LIMITED

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.