Vivek Raja

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Where they hold approval

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

Investec Bank PLC
FRN 172330
- [FCA CF] Client dealing (since 23 Mar 2026)
SHORE CAPITAL STOCKBROKERS LIMITED (no longer approved here)
FRN 124784
- [FCA CF] Client dealing (12 Mar 2021 to 19 Dec 2025)
- CF30 Customer (1 Apr 2019 to 8 Dec 2019)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF30 Customer (17 Jul 2017 to 31 Jul 2018)
Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- CF30 Customer (18 Sep 2014 to 27 Mar 2015)
Panmure Liberum Limited (no longer approved here)
FRN 403721
- CF30 Customer (12 Mar 2009 to 4 Mar 2011)

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.