Alpesh Lad

Watch for changes

Where they hold approval

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

Mizuho International plc (no longer approved here)
FRN 119256
- [FCA CF] Client dealing (8 Jan 2021 to 18 Jan 2023)
- [FCA CF] Manager of certification employee (8 Jan 2021 to 18 Jan 2023)
MUFG Securities EMEA plc (no longer approved here)
FRN 124512
- CF30 Customer (1 Mar 2011 to 6 Mar 2016)
BTIG Limited (no longer approved here)
FRN 484589
- CF30 Customer (5 May 2010 to 19 Jan 2011)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (1 Jul 2005 to 11 May 2007)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (1 Dec 2001 to 27 May 2003)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (1 Dec 2001 to 27 May 2003)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)

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.