William Jones

Watch for changes

Where they hold approval

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

Sumitomo Mitsui Banking Corporation, London Branch
FRN 769072
- [FCA CF] Manager of certification employee (since 4 Jun 2025)
- [FCA CF] Client dealing (since 4 Jun 2025)
SMBC Bank International plc
FRN 223304
- [FCA CF] Manager of certification employee (since 28 Mar 2025)
- [FCA CF] Client dealing (since 23 Oct 2024)
- [FCA CF] Manager of certification employee (23 Oct 2024 to 24 Oct 2024)
SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- [FCA CF] Manager of certification employee (23 Oct 2024 to 24 Oct 2024)
- [FCA CF] Client dealing (23 Oct 2024 to 31 Mar 2025)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Client dealing (7 Sep 2016 to 22 Jan 2019)
- CF30 Customer (13 Dec 2012 to 6 Mar 2016)

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.