Ajay Chawla

Watch for changes

Where they hold approval

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

Vantage Capital Markets LLP
FRN 416697
- [FCA CF] Material risk taker (since 9 Dec 2019)
- SMF27 Partner (9 Dec 2019 to 14 Sep 2022)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Oct 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (11 Aug 2005 to 26 Jul 2007)
- CF26 Customer Trading (11 Aug 2005 to 31 Oct 2007)
R.J. O'Brien Limited (no longer approved here)
FRN 114120
- CF26 Customer Trading (7 Jul 2004 to 15 Sep 2004)

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.