Stephen Shields

Watch for changes

Where they hold approval

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

North Rock Capital Management (UK) LLP (no longer approved here)
FRN 937100
- [FCA CF] Manager of certification employee (16 Dec 2022 to 30 Mar 2026)
- [FCA CF] Client dealing (16 Dec 2021 to 30 Mar 2026)
Mirabella Financial Services LLP (no longer approved here)
FRN 415559
- [FCA CF] Client dealing (24 Jun 2021 to 15 Dec 2021)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- [FCA CF] Client dealing (1 Oct 2020 to 18 Apr 2021)
- [FCA CF] Manager of certification employee (1 Oct 2020 to 2 Oct 2020)
- CF30 Customer (14 Dec 2016 to 8 Dec 2019)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- [FCA CF] Client dealing (1 Oct 2020 to 18 Apr 2021)
- CF30 Customer (14 Dec 2016 to 8 Dec 2019)

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.