Stephen Henry Lock

Last updated
3 weeks ago
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Where they hold approval

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

  • PMGI Limited (no longer approved here)

    FRN 114942

    • [FCA CF] Manager of certification employee (14 Oct 2021 to 31 Dec 2021)
    • [FCA CF] Significant management (14 Oct 2021 to 31 Dec 2021)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • [FCA CF] Significant management (13 Oct 2021 to 31 Dec 2021)
    • [FCA CF] Manager of certification employee (13 Oct 2021 to 31 Dec 2021)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • [FCA CF] Significant management (13 Oct 2021 to 31 Dec 2021)
    • [FCA CF] Manager of certification employee (13 Oct 2021 to 31 Dec 2021)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • [FCA CF] Manager of certification employee (13 Oct 2021 to 31 Dec 2021)
    • [FCA CF] Significant management (13 Oct 2021 to 31 Dec 2021)
  • Royal London Marketing Limited (no longer approved here)

    FRN 302391

    • [FCA CF] Significant management (13 Oct 2021 to 31 Dec 2021)
    • [FCA CF] Manager of certification employee (13 Oct 2021 to 31 Dec 2021)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF11 Money Laundering Reporting (14 Mar 2003 to 30 Jun 2006)
  • Prudential Lifetime Mortgages Limited (no longer approved here)

    FRN 119350

    • CF11 Money Laundering Reporting (14 Mar 2003 to 30 Jun 2006)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF11 Money Laundering Reporting (14 Mar 2003 to 30 Jun 2006)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF11 Money Laundering Reporting (14 Mar 2003 to 30 Jun 2006)

Recent activity

Updates to this individual's record on the FCA register.

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