Stuart Ian Clark

Watch for changes

Where they hold approval

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

Daiwa Capital Markets Europe Limited
FRN 124490
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2022)
- CF30 Customer (10 Feb 2016 to 8 Dec 2019)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (20 Dec 2010 to 24 Dec 2015)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (1 Nov 2007 to 20 Dec 2010)
- CF21 Investment Adviser (13 Sep 2006 to 31 Oct 2007)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF21 Investment Adviser (1 Aug 2004 to 8 Sep 2006)
ING Bank N.V. (no longer approved here)
FRN 124940
- CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2004)

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.