David MORRIS

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Where they hold approval

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

J.P. Morgan Markets Limited
FRN 114031
- [FCA CF] Client dealing (since 19 Jul 2024)
- [FCA CF] Manager of certification employee (19 Jul 2024 to 15 Jan 2025)
J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Client dealing (since 7 Mar 2016)
- [FCA CF] Manager of certification employee (22 Mar 2017 to 21 Apr 2021)
- CF30 Customer (11 Sep 2012 to 6 Mar 2016)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (11 Sep 2012 to 6 Mar 2016)

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.