Sunil Kumar Goel

Watch for changes

Where they hold approval

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

HOBART CAPITAL MARKETS LLP (no longer approved here)
FRN 593186
- [FCA CF] Client dealing (1 Aug 2023 to 31 Jul 2024)
NUVAMA FINANCIAL SERVICES (UK) LIMITED (no longer approved here)
FRN 742256
- CF11 Money Laundering Reporting (30 Oct 2018 to 16 Feb 2019)
- CF10 Compliance Oversight (30 Oct 2018 to 16 Feb 2019)
- CF30 Customer (10 Oct 2016 to 16 Feb 2019)
- CF1 Director (10 Oct 2016 to 16 Feb 2019)
- CF3 Chief Executive (10 Oct 2016 to 16 Feb 2019)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF21 Investment Adviser (28 Jan 2003 to 12 Mar 2004)
FIRST GLOBAL (UK) LTD. (no longer approved here)
FRN 190780
- CF21 Investment Adviser (1 Dec 2001 to 4 Dec 2002)

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.