Thomas Anthony John Spencer

Watch for changes

Where they hold approval

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

Bishopsgate Corporate Finance Limited (no longer approved here)
FRN 211863
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Apr 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 9 Apr 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF23 Corporate Finance Adviser (6 Oct 2004 to 31 Oct 2007)
- CF10 Compliance Oversight (6 Oct 2004 to 8 Dec 2019)
- CF11 Money Laundering Reporting (6 Oct 2004 to 8 Dec 2019)
KPMG LLP (no longer approved here)
FRN 210513
- CF23 Corporate Finance Adviser (5 Dec 2002 to 17 Aug 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.