Simon Neilson Ballard

Watch for changes

Where they hold approval

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

National Australia Bank Limited (no longer approved here)
FRN 141309
- CF30 Customer (5 Oct 2012 to 10 Nov 2014)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF30 Customer (4 Dec 2009 to 10 Oct 2011)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF30 Customer (4 Dec 2009 to 10 Oct 2011)
CreditSights Ltd (no longer approved here)
FRN 220206
- CF30 Customer (30 Jun 2009 to 30 Nov 2009)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF21 Investment Adviser (23 Sep 2004 to 29 Oct 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.