Stephen Penfold

Watch for changes

Where they hold approval

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

Seven Investment Management LLP (no longer approved here)
FRN 589124
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Mar 2025)
- [FCA CF] Material risk taker (9 Dec 2019 to 10 Jul 2024)
- CF30 Customer (1 Mar 2013 to 8 Dec 2019)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF26 Customer Trading (11 Mar 2005 to 30 Sep 2006)
- CF27 Investment Management (11 Mar 2005 to 30 Sep 2006)

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.