Dominic Hartley

Watch for changes

Where they hold approval

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

JANE STREET FINANCIAL LIMITED
FRN 486546
- [FCA CF] Proprietary trader (since 1 Feb 2022)
- [FCA CF] Client dealing (since 7 Dec 2021)
- [FCA CF] Material risk taker (12 Jul 2021 to 31 Dec 2021)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- [FCA CF] Client dealing (22 Jun 2016 to 12 Sep 2021)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (25 Nov 2010 to 6 Mar 2016)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (25 Nov 2010 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.