William David Ballard

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Where they hold approval

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

BORDER TO COAST PENSIONS PARTNERSHIP LIMITED
FRN 800511
- [FCA CF] Manager of certification employee (since 21 Nov 2022)
- [FCA CF] Client dealing (since 17 Jan 2022)
- [FCA CF] Material risk taker (since 17 Jan 2022)
Aviva Investors Global Services Limited (no longer approved here)
FRN 119178
- [FCA CF] Client dealing (9 Dec 2019 to 8 Jun 2021)
- CF30 Customer (2 Jun 2009 to 8 Dec 2019)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF30 Customer (1 Nov 2007 to 15 Dec 2008)
- CF21 Investment Adviser (8 Aug 2007 to 31 Oct 2007)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF30 Customer (1 Nov 2007 to 15 Dec 2008)
- CF21 Investment Adviser (8 Aug 2007 to 31 Oct 2007)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF27 Investment Management (27 Oct 2004 to 30 Jun 2007)

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.