Stephen John Tomlin

Watch for changes

Where they hold approval

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

Sigma Broking Limited (no longer approved here)
FRN 485362
- SMF3 Executive Director (9 Dec 2019 to 31 Jan 2020)
- CF1 Director (5 Aug 2008 to 8 Dec 2019)
- CF10 Compliance Oversight (5 Aug 2008 to 27 Jun 2017)
- CF30 Customer (5 Aug 2008 to 8 Dec 2019)
ABN AMRO Clearing Bank N.V., London Branch (no longer approved here)
FRN 400059
- CF30 Customer (9 Sep 2008 to 26 Jan 2009)

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.