Alan Yau

Watch for changes

Where they hold approval

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

HSBC Alternative Investments Limited (no longer approved here)
FRN 170423
- [FCA CF] Client dealing (9 Jun 2020 to 29 May 2024)
HSBC Global Asset Management (UK) Limited (no longer approved here)
FRN 122335
- [FCA CF] Client dealing (14 Feb 2020 to 29 May 2024)
- CF30 Customer (11 Jul 2008 to 8 Dec 2019)
Payden & Rygel Global Limited (no longer approved here)
FRN 190267
- CF27 Investment Management (25 May 2006 to 23 Mar 2007)
Franklin Templeton Investment Management Limited (no longer approved here)
FRN 121779
- CF27 Investment Management (11 Mar 2004 to 25 May 2006)

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.