Stuart Neil Hawkes

Watch for changes

Where they hold approval

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

Isio Investment Solutions Limited
FRN 196669
- SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Sep 2024)
- SMF16 Compliance Oversight (since 19 Sep 2024)
Aon Investments Limited (no longer approved here)
FRN 459481
- SMF16 Compliance Oversight (9 Dec 2019 to 25 Feb 2021)
- CF11 Money Laundering Reporting (10 Feb 2015 to 10 Oct 2017)
- CF10 Compliance Oversight (29 Dec 2014 to 8 Dec 2019)
Fisher Investments Europe Limited (no longer approved here)
FRN 191609
- CF10 Compliance Oversight (20 Mar 2013 to 11 Apr 2014)
- CF11 Money Laundering Reporting (20 Mar 2013 to 11 Apr 2014)

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.