Bhaven Patel

Watch for changes

Where they hold approval

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

HSBC Global Asset Management (UK) Limited
FRN 122335
- [FCA CF] Client dealing (since 18 Jun 2021)
- [FCA CF] Manager of certification employee (since 14 Apr 2021)
DWS Investments UK Limited (no longer approved here)
FRN 429806
- [FCA CF] Client dealing (9 Dec 2019 to 6 Apr 2021)
- CF30 Customer (8 Jun 2017 to 8 Dec 2019)
Deutsche Bank AG (no longer approved here)
FRN 150018
- [FCA CF] Client dealing (7 Mar 2016 to 23 Oct 2017)
- CF30 Customer (27 Oct 2015 to 6 Mar 2016)
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)
FRN 114627
- CF30 Customer (2 Dec 2011 to 30 Jun 2013)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF30 Customer (25 May 2010 to 3 Oct 2011)

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.