Stephen Robert Bartlett

Watch for changes

Where they hold approval

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

UOB Kay Hian (U.K.) Limited (no longer approved here)
FRN 155417
- CF1 Director (29 Jul 2008 to 17 Apr 2009)
- CF30 Customer (29 Jul 2008 to 2 Sep 2011)
- CF21 Investment Adviser (19 Jan 2005 to 31 Oct 2005)
Walker Crips Investment Management Limited (no longer approved here)
FRN 226344
- CF21 Investment Adviser (30 Jun 2004 to 13 Jan 2005)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF21 Investment Adviser (1 Dec 2001 to 21 Jun 2002)

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.