Alice Chen

Watch for changes

Where they hold approval

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

NatWest Markets Plc
FRN 121882
- [FCA CF] Client dealing (since 18 Aug 2025)
HSBC Bank Plc (no longer approved here)
FRN 114216
- [FCA CF] Client dealing (18 Aug 2021 to 2 May 2025)
Lloyds Bank Corporate Markets Plc (no longer approved here)
FRN 763256
- [FCA CF] Client dealing (13 Jan 2020 to 4 May 2021)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- [FCA CF] Client dealing (26 Sep 2018 to 12 Jan 2020)
Bank of Scotland plc (no longer approved here)
FRN 169628
- [FCA CF] Client dealing (26 Sep 2018 to 12 Jan 2020)

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.