David Slater

Watch for changes

Where they hold approval

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

JPMorgan Chase Bank, National Association
FRN 124491
- [FCA CF] Manager of certification employee (since 9 Jul 2019)
- [FCA CF] Client dealing (since 20 Jun 2019)
- [FCA CF] Material risk taker (since 20 Jun 2019)
TRIUM CAPITAL LLP (no longer approved here)
FRN 497640
- CF30 Customer (13 Mar 2017 to 25 Apr 2019)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF30 Customer (20 Jul 2010 to 21 Jan 2015)
Nomura International Plc (no longer approved here)
FRN 124422
- CF21 Investment Adviser (22 Jun 2004 to 11 Nov 2005)

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.