Thomas Edward Maxwell

Watch for changes

Where they hold approval

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

Verition Advisors (UK Partners) LLP
FRN 989410
- [FCA CF] Client dealing (since 19 Nov 2024)
abrdn Alternative Funds Limited (no longer approved here)
FRN 143445
- [FCA CF] Material risk taker (1 Jan 2023 to 25 Oct 2024)
abrdn Investments Limited (no longer approved here)
FRN 121891
- [FCA CF] Client dealing (9 Dec 2019 to 25 Oct 2024)
- [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
- CF30 Customer (26 Oct 2017 to 8 Dec 2019)
abrdn Investment Management Limited (no longer approved here)
FRN 188406
- [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
- [FCA CF] Client dealing (9 Dec 2019 to 25 Oct 2024)
- CF30 Customer (4 Mar 2016 to 8 Dec 2019)

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.