Simon Williams

Watch for changes

Where they hold approval

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

Credit Agricole Corporate and Investment Bank (no longer approved here)
FRN 124344
- [FCA CF] Manager of certification employee (19 Sep 2016 to 17 Sep 2021)
- [FCA CF] Client dealing (19 Sep 2016 to 17 Sep 2021)
- CF30 Customer (30 Jun 2014 to 6 Mar 2016)
VTB Capital plc (no longer approved here)
FRN 144003
- CF30 Customer (14 Oct 2010 to 30 Apr 2014)
TP ICAP Markets Limited (no longer approved here)
FRN 124520
- CF30 Customer (24 Sep 2009 to 13 Aug 2010)
Sucden Financial Limited (no longer approved here)
FRN 114239
- CF30 Customer (4 Mar 2009 to 24 Jul 2009)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF30 Customer (25 Jul 2008 to 22 Jan 2009)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF30 Customer (1 Nov 2007 to 8 May 2008)
- CF21 Investment Adviser (3 Apr 2007 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.