Thomas O'Hara

Watch for changes

Where they hold approval

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

GAM London Limited
FRN 122330
- [FCA CF] Client dealing (since 5 Dec 2025)
- [FCA CF] Manager of certification employee (since 5 Dec 2025)
- [FCA CF] Material risk taker (since 5 Dec 2025)
GAM INTERNATIONAL MANAGEMENT LIMITED
FRN 122331
- [FCA CF] Material risk taker (since 8 May 2025)
- [FCA CF] Client dealing (since 8 May 2025)
- [FCA CF] Manager of certification employee (since 8 May 2025)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- [FCA CF] Client dealing (17 Apr 2020 to 30 Apr 2025)
ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED (no longer approved here)
FRN 607483
- CF30 Customer (1 Apr 2014 to 1 Jul 2016)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (23 Jul 2010 to 5 Aug 2013)

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.