Toby Sebastian Pearce

Watch for changes

Where they hold approval

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

TAP Securities Ltd
FRN 610167
- SMF3 Executive Director (since 10 Feb 2022)
- [FCA CF] Client dealing (since 1 Mar 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2020)
- SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2020)
- CF10 Compliance Oversight (17 Jul 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (17 Jul 2019 to 8 Dec 2019)
- CF30 Customer (20 Sep 2017 to 8 Dec 2019)
- CF1 Director (20 Sep 2017 to 10 Oct 2019)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF21 Investment Adviser (1 Dec 2001 to 2 Aug 2005)

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.