Steven John O'Brien

Watch for changes

Where they hold approval

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

NS PARTNERS LTD (no longer approved here)
FRN 141667
- CF1 Director (7 Apr 2009 to 30 Jul 2010)
Nuveen Investment Management International Limited (no longer approved here)
FRN 141668
- CF1 Director (7 Apr 2009 to 30 Jul 2010)
Nuveen Management AIFM Limited (no longer approved here)
FRN 194149
- CF1 Director (7 Apr 2009 to 30 Jul 2010)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF29 Significant management (1 Nov 2007 to 30 Jul 2010)
- CF16 Significant Mgt (Desgntd Investment Business) (20 Feb 2007 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 20 Feb 2007)
Janus Henderson Fund Management UK Limited (no longer approved here)
FRN 121859
- CF29 Significant management (1 Nov 2007 to 30 Jul 2010)
- CF16 Significant Mgt (Desgntd Investment Business) (20 Feb 2007 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 20 Feb 2007)

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.