get_firm_controlled_functions
Retrieve the controlled functions held at a specific FCA-regulated firm.
Controlled functions are senior management or customer-facing roles that require FCA
approval (e.g., CF1 Director, CF10 Compliance Oversight, CF30 Customer Function). Use
this tool to see which regulated roles exist at a firm. If you do not have an FRN,
call search_frn first. To find which specific individuals hold these roles, use
get_firm_individuals instead.
get_firm_individuals
Retrieve all FCA-registered individuals associated with a specific firm.
Returns individuals and the controlled functions (regulated roles) they hold at the
firm, such as directors, compliance officers, and approved persons. Use this tool to
find out who holds regulated roles at a firm. If you do not have an FRN, call
search_frn first. For detailed information about a specific individual, use their IRN
with get_individual.
Individuals listed here often also appear as Companies House officers — to see their wider
directorship history, search for them by name in Companies House and fetch their appointments.
get_firm_permissions
Retrieve the regulatory permissions granted to a specific FCA-regulated firm.
Permissions define what regulated activities a firm is authorized to carry out, such
as accepting deposits, arranging deals in investments, or insurance mediation. Use
this tool to verify what a firm is authorized to do under FCA regulation. If you do
not have an FRN, call search_frn first with the firm name.
get_firm_requirements
Retrieve regulatory requirements imposed on a specific FCA-regulated firm.
Requirements are conditions or restrictions placed on a firm's authorization by the
FCA, such as capital requirements or reporting obligations. Use this tool to check
constraints on a firm's operations. If you do not have an FRN, call search_frn first.
To see which investment types a specific requirement applies to, use
get_firm_requirement_investment_types with the requirement reference from these results.
get_firm_requirement_investment_types
Retrieve the investment types associated with a specific regulatory requirement for an FCA-regulated firm.
Use this tool after calling get_firm_requirements to drill into which investment types
a particular requirement applies to. Requires both a Firm Reference Number (FRN) and
a requirement reference (req_ref) obtained from get_firm_requirements results.
get_firm_regulators
Retrieve the regulators responsible for overseeing a specific firm.
Most FCA-regulated firms are overseen by the FCA alone, but some (e.g., banks,
insurers) are dual-regulated by both the FCA and the PRA (Prudential Regulation
Authority). Use this tool to determine which regulatory bodies have jurisdiction
over a firm. If you do not have an FRN, call search_frn first.
get_firm_passports
Retrieve the regulatory passports held by a specific FCA-regulated firm.
Passports (under pre-Brexit EEA arrangements) allow a firm authorized in one
jurisdiction to operate in other countries without separate authorization. Use this
tool to find which countries a firm has passported into. If you do not have an FRN,
call search_frn first. To see specific permissions in a passported country, use
get_firm_passport_permissions with the country from these results.
get_firm_passport_permissions
Retrieve the specific permissions a firm holds under its regulatory passport in a given country.
Use this tool after calling get_firm_passports to drill into what a firm is authorized
to do in a specific passported jurisdiction. Requires both a Firm Reference Number
(FRN) and a country name obtained from get_firm_passports results.
get_firm_waivers
Retrieve any regulatory waivers granted to a specific FCA-regulated firm.
Waivers are formal modifications to regulatory rules that the FCA has granted to a
firm, allowing it to deviate from standard requirements under specific conditions.
Use this tool to check if a firm has been granted any special regulatory concessions.
If you do not have an FRN, call search_frn first.
get_firm_exclusions
Retrieve any exclusions that apply to a specific FCA-regulated firm.
Exclusions define specific regulated activities or products that a firm is explicitly
not authorized to carry out, narrowing the scope of its permissions. Use this tool to
understand limitations on a firm's authorization. If you do not have an FRN, call
search_frn first.
get_firm_disciplinary_history
Retrieve the disciplinary history of a specific FCA-regulated firm.
Returns records of enforcement actions, fines, public censures, or other disciplinary
measures taken against the firm by the FCA. Use this tool when assessing a firm's
compliance track record or checking for past regulatory sanctions. If you do not have
an FRN, call search_frn first.
get_firm_appointed_representatives
Retrieve the appointed representatives (ARs) of a specific FCA-regulated firm.
Appointed representatives are firms or individuals authorized to carry out regulated
activities under the responsibility of a principal firm, rather than being directly
authorized by the FCA themselves. Use this tool to find which entities operate under
a firm's regulatory umbrella. If you do not have an FRN, call search_frn first.
get_fund
Retrieve detailed information about a specific FCA-registered investment fund.
Use this tool when you have a Product Reference Number (PRN) and need the fund's full
details, including its name, type, status, and management information. If you do not
have a PRN, call search_prn first with the fund name. Returns core fund details
only — use get_fund_subfunds for constituent sub-fund information, or get_fund_names
for alternative names.
get_fund_names
Retrieve all names and name aliases for a specific FCA-registered investment fund.
Use this tool to find alternative, former, or marketing names a fund has used. Useful
for verifying whether different names refer to the same fund entity. If you do not
have a PRN, call search_prn first with the fund name.
get_fund_subfunds
Retrieve all sub-funds within a specific FCA-registered umbrella fund.
Sub-funds are distinct investment compartments within a larger fund structure, each
with its own investment strategy and risk profile. Use this tool when you need to
explore the components of an umbrella or multi-compartment fund. If you do not have
a PRN, call search_prn first with the fund name.
get_individual
Retrieve detailed information about a specific FCA-registered individual.
Use this tool when you have an Individual Reference Number (IRN) and need the person's
full profile, including their name, status, and associated firms. If you do not have an
IRN, call search_irn first with the person's name. Returns core individual details
only — use get_individual_controlled_functions for their regulated roles and
get_individual_disciplinary_history for any enforcement actions.
get_individual_controlled_functions
Retrieve the controlled functions held by a specific FCA-registered individual across all associated firms.
Controlled functions are FCA-approved roles such as Director (CF1), Compliance Oversight
(CF10), or Customer Function (CF30). Use this tool to check what regulated roles a person
holds or has held, and at which firms. If you do not have an IRN, call search_irn first
with the person's name.
get_individual_disciplinary_history
Retrieve the disciplinary history of a specific FCA-registered individual.
Returns records of enforcement actions, prohibitions, fines, or other regulatory
sanctions taken against the individual by the FCA. Use this tool when assessing a
person's regulatory compliance track record or checking for past sanctions. If you
do not have an IRN, call search_irn first with the person's name.
get_regulated_markets
Retrieve the complete list of FCA-recognised regulated markets (exchanges and trading venues).
Regulated markets are multilateral trading venues where financial instruments are
traded under regulated conditions, such as the London Stock Exchange. Use this tool
when the user asks about UK-regulated exchanges, trading venues, or wants to verify
if a specific market is FCA-recognised. Takes no parameters and returns all regulated
markets.