Stuart Ralph Rawlings

Watch for changes

Where they hold approval

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

Freight Investor Services Limited (no longer approved here)
FRN 211452
- CF30 Customer (15 Mar 2017 to 24 Apr 2017)
Enterprise Commodity Services Limited (no longer approved here)
FRN 575152
- CF30 Customer (2 Mar 2016 to 14 Nov 2016)
Archr LLP (no longer approved here)
FRN 617163
- CF30 Customer (14 Oct 2014 to 9 Jun 2015)
Aviate Futures LLP (no longer approved here)
FRN 571987
- Employed By (14 Feb 2014 to 15 Sep 2014)
Northern Trust Securities LLP (no longer approved here)
FRN 465131
- CF30 Customer (24 Jun 2013 to 15 Sep 2014)
Vantage Capital Markets LLP (no longer approved here)
FRN 416697
- CF30 Customer (15 Jul 2010 to 30 Nov 2012)

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.