Simon Thomas Fothergill

Watch for changes

Where they hold approval

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

GFI Securities Limited (no longer approved here)
FRN 184801
- CF30 Customer (16 Feb 2017 to 26 Mar 2018)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (26 Jun 2014 to 2 Nov 2015)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF30 Customer (26 Jun 2014 to 2 Nov 2015)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (21 Oct 2008 to 11 May 2012)
Citibank, N.A. (no longer approved here)
FRN 124704
- CF30 Customer (21 Oct 2008 to 11 May 2012)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Nov 2007 to 4 Oct 2008)
- CF21 Investment Adviser (4 Aug 2006 to 31 Oct 2007)

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.