Tom Ball

Watch for changes

Where they hold approval

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

Sapia Partners LLP (no longer approved here)
FRN 550103
- [FCA CF] Client dealing (13 Oct 2021 to 11 Nov 2022)
SIGNATURE SENIOR LIFESTYLE INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 488323
- SMF16 Compliance Oversight (9 Dec 2019 to 27 May 2022)
- SMF3 Executive Director (9 Dec 2019 to 27 May 2022)
- CF1 Director (15 Oct 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (15 Oct 2015 to 1 Feb 2019)
- CF10 Compliance Oversight (20 Mar 2013 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.