Stephen Dudley Moore

Watch for changes

Where they hold approval

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

Commerzbank AG (no longer approved here)
FRN 124920
- CF30 Customer (12 Nov 2015 to 6 Mar 2016)
Impax Asset Management (AIFM) Limited (no longer approved here)
FRN 613534
- CF30 Customer (3 Jul 2014 to 1 Dec 2014)
Impax Asset Management Limited (no longer approved here)
FRN 197008
- CF30 Customer (17 Dec 2013 to 1 Dec 2014)
DWS Investments UK Limited (no longer approved here)
FRN 429806
- CF30 Customer (12 Jul 2010 to 11 Dec 2012)
Julius Baer International Limited (no longer approved here)
FRN 139179
- CF30 Customer (8 Aug 2008 to 17 May 2010)

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.