Charles Simond

Last updated
3 weeks ago
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Where they hold approval

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

  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (17 May 2017 to 10 Oct 2022)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 22 Aug 2022)
    • [FCA CF] Client dealing (7 Mar 2016 to 10 Oct 2022)
    • CF30 Customer (17 Sep 2012 to 6 Mar 2016)
    • CF21 Investment Adviser (2 Jul 2004 to 9 Aug 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Client dealing (7 Mar 2016 to 10 Oct 2022)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 22 Aug 2022)
    • [FCA CF] Material risk taker (7 Mar 2016 to 10 Oct 2022)
    • CF30 Customer (17 Sep 2012 to 6 Mar 2016)
    • CF21 Investment Adviser (2 Jul 2004 to 9 Aug 2007)
  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • CF21 Investment Adviser (1 Dec 2001 to 18 Feb 2003)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.