Stephen Michael Tong

Watch for changes

Where they hold approval

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

Lazard Asset Management Limited
FRN 121839
- [FCA CF] Client dealing (since 3 Jan 2023)
- [FCA CF] Material risk taker (3 Jan 2023 to 3 Apr 2025)
HSBC Global Asset Management (UK) Limited (no longer approved here)
FRN 122335
- CF30 Customer (4 Apr 2014 to 4 Dec 2018)
AllianceBernstein Limited (no longer approved here)
FRN 147956
- CF29 Significant management (17 Jan 2008 to 8 Oct 2009)
- CF30 Customer (17 Jan 2008 to 12 Mar 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.