Alex Liu

Watch for changes

Where they hold approval

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

Nomura International Plc
FRN 124422
- [FCA CF] Material risk taker (since 7 Jul 2023)
- [FCA CF] Client dealing (since 30 Nov 2022)
Nomura Bank International Plc.
FRN 204419
- [FCA CF] Material risk taker (since 7 Jul 2023)
- [FCA CF] Client dealing (since 30 Nov 2022)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (11 Jun 2012 to 6 Mar 2016)
State Street Bank and Trust Company (no longer approved here)
FRN 170462
- CF30 Customer (18 Aug 2010 to 1 Mar 2012)

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.