DAVID AUINGER

Watch for changes

Where they hold approval

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

Arrow Energy Markets (UK) Limited
FRN 1001689
- [FCA CF] Client dealing (since 8 Jan 2025)
OTC Europe LLP (no longer approved here)
FRN 507219
- [FCA CF] Client dealing (6 Apr 2020 to 5 Oct 2024)
1OAK Capital Limited (no longer approved here)
FRN 501453
- CF30 Customer (12 Aug 2015 to 16 Dec 2016)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (6 Jan 2011 to 11 Aug 2014)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (6 Jan 2011 to 11 Aug 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.