Vincenzo Adriano Imondi

Watch for changes

Where they hold approval

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

MIRAE ASSET SECURITIES (UK) LTD. (no longer approved here)
FRN 149240
- [FCA CF] Client dealing (29 Sep 2022 to 21 Aug 2024)
RIA Capital Markets Limited (no longer approved here)
FRN 219706
- [FCA CF] Client dealing (2 Sep 2020 to 6 May 2022)
- [FCA CF] Proprietary trader (2 Sep 2020 to 6 May 2022)
- [FCA CF] Material risk taker (2 Sep 2020 to 31 Dec 2021)
SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- CF30 Customer (3 Jun 2013 to 8 Dec 2019)
Mizuho International plc (no longer approved here)
FRN 119256
- CF30 Customer (12 Dec 2008 to 1 Mar 2013)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (268)CF21 Investment Adviser (1 Dec 2001 to 5 Mar 2007)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (268)CF21 Investment Adviser at Novate Global Markets Limited

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.