Simon Patrick Hicks

Watch for changes

Where they hold approval

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

The Bank of New York Mellon
FRN 122467
- [FCA CF] Significant management (since 2 Feb 2024)
- [PRA CF] Significant risk taker or Material risk taker (26 Jul 2024 to 30 Sep 2024)
The Bank of New York Mellon (International) Limited
FRN 183100
- [FCA CF] Significant management (since 2 Feb 2024)
- [PRA CF] Significant risk taker or Material risk taker (26 Jul 2024 to 30 Sep 2024)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF11 Money Laundering Reporting (2 Apr 2013 to 6 Aug 2014)
Wells Fargo Bank, National Association (no longer approved here)
FRN 456183
- CF11 Money Laundering Reporting (2 Apr 2013 to 6 Aug 2014)

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.