Simon Thorn

Watch for changes

Where they hold approval

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

Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- SMF16 Compliance Oversight (7 Jul 2020 to 28 Feb 2022)
- CF10 Compliance Oversight (25 Jun 2012 to 23 Sep 2013)
BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)
FRN 155595
- CF10 Compliance Oversight (2 Feb 2016 to 20 Jun 2018)
Barclays Asset Management Limited (no longer approved here)
FRN 505543
- CF10 Compliance Oversight (2 Feb 2016 to 20 Jun 2018)
BIFM Investments Limited (no longer approved here)
FRN 511268
- CF10 Compliance Oversight (25 Jun 2012 to 23 Sep 2013)
Nomura International Plc (no longer approved here)
FRN 124422
- CF10 Compliance Oversight (15 Sep 2008 to 20 Mar 2012)
Nomura Bank International Plc. (no longer approved here)
FRN 204419
- CF10 Compliance Oversight (15 Sep 2008 to 20 Mar 2012)

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.