Stephen William Humphries

Last updated
1 week ago
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Where they hold approval

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

  • Lloyds Bank PLC

    FRN 119278

    • [PRA CF] Significant risk taker or Material risk taker (since 9 Jan 2025)
    • [FCA CF] Material risk taker (since 9 Jan 2025)
  • Family Assurance Friendly Society Limited (no longer approved here)

    FRN 110067

    • [FCA CF] Manager of certification employee (1 Oct 2023 to 21 Dec 2023)
    • [FCA CF] Material risk taker (26 Feb 2021 to 21 Dec 2023)
    • [FCA CF] Significant management (10 Dec 2018 to 21 Dec 2023)
  • Family Equity Plan Limited (no longer approved here)

    FRN 122351

    • [FCA CF] Manager of certification employee (1 Oct 2023 to 21 Dec 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2023)
  • Family Investment Management Limited (no longer approved here)

    FRN 122394

    • [FCA CF] Manager of certification employee (1 Oct 2023 to 21 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2023)
  • Engage Mutual Funds Limited (no longer approved here)

    FRN 181487

    • (50)[FCA CF] Manager of certification employee (1 Oct 2023 to 21 Dec 2023)
    • (49)[FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2023)
    • (51)[FCA CF] Significant management (9 Dec 2019 to 21 Dec 2023)
  • OneFamily Advice Limited (no longer approved here)

    FRN 783577

    • [FCA CF] Manager of certification employee (1 Oct 2023 to 21 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2023)

Recent activity

Updates to this individual's record on the FCA register.

  1. controlled function added: (49)[FCA CF] Material risk taker at Engage Mutual Funds Limited

  2. controlled function added: (50)[FCA CF] Manager of certification employee at Engage Mutual Funds Limited

  3. controlled function added: (51)[FCA CF] Significant management at Engage Mutual Funds Limited