Thomas Williams

Watch for changes

Where they hold approval

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

Forth Capital Advisers Limited
FRN 811535
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 6 Jun 2023)
- [FCA CF] Functions requiring qualifications (since 4 Jul 2022)
INNES REID INVESTMENTS LIMITED (no longer approved here)
FRN 211626
- [FCA CF] Client dealing (1 Oct 2020 to 24 May 2021)
- [FCA CF] Functions requiring qualifications (1 Oct 2020 to 24 May 2021)

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.