Daoyu Chen

Watch for changes

Where they hold approval

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

State Street Global Advisors Limited
FRN 146665
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (3 Aug 2017 to 8 Dec 2019)
AXA INVESTMENT MANAGERS UK LIMITED (no longer approved here)
FRN 119368
- CF30 Customer (12 Jun 2014 to 31 Dec 2016)
AXA Investment Managers GS Limited (no longer approved here)
FRN 188523
- CF30 Customer (12 Jun 2014 to 31 Dec 2016)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- CF30 Customer (11 Apr 2013 to 26 May 2014)
Goldman Sachs Bank USA (no longer approved here)
FRN 582328
- CF30 Customer (21 Mar 2013 to 26 May 2014)

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.