Steven Paul Mortlock

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Where they hold approval

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

Tavira Financial Limited
FRN 462001
- [FCA CF] Client dealing (since 8 Jan 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 26 Nov 2021)
- CF30 Customer (3 Apr 2018 to 8 Dec 2019)
IBP Markets Limited (no longer approved here)
FRN 520929
- [FCA CF] Client dealing (1 Dec 2021 to 31 Oct 2023)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- CF30 Customer (24 Sep 2010 to 15 Mar 2017)

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.