Stuart Stephen Shimmen

Watch for changes

Where they hold approval

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

Newlife Wealth Ltd (no longer approved here)
FRN 943930
- [FCA CF] Client dealing (4 Jun 2021 to 10 Feb 2022)
- [FCA CF] Significant management (4 Jun 2021 to 10 Feb 2022)
- Responsible for Insurance Distribution (1 Feb 2021 to 10 Feb 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2021 to 10 Feb 2022)
- SMF3 Executive Director (1 Feb 2021 to 10 Feb 2022)
RLUM Limited (no longer approved here)
FRN 144032
- CF22 Investment Adviser (Trainee) (25 Jul 2006 to 10 Aug 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.