Todd Sandoz

Watch for changes

Where they hold approval

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

Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Manager of certification employee (17 Sep 2018 to 10 Feb 2023)
Nomura International Plc (no longer approved here)
FRN 124422
- CF29 Significant management (2 May 2014 to 16 Aug 2015)
- CF30 Customer (10 Jan 2014 to 16 Aug 2015)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF29 Significant management (16 Sep 2009 to 18 Sep 2013)
- CF21 Investment Adviser (1 Dec 2001 to 10 Sep 2003)

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.