Individuals Search
Our Register includes individuals who are approved to carry out certain activities in a regulated firm.
As well as authorising firms to conduct regulated activities we also approve individuals in firms to carry out particular functions. These are known as ‘controlled functions’.
We must approve an individual before they are able to conduct certain types of business, such as selling or advising on investments like personal or stakeholder pensions, life assurance policies, shares or collective investment schemes.
You can search this area of the Register for individuals that are, or have been, approved by us. An ‘approved person’ must work for a regulated firm or their agent.
Financial services firms and individuals have been regulated under the Financial Services and Markets Act 2000 (FSMA) since 1 December 2001. If you require regulatory information about an individual before this date please contact our Consumer Helpline.
You can find out more about individuals on the Register, or search for an individual now by their name or individual reference number:
By Name
By Individual reference number