Dominic O'Kane

Watch for changes

Where they hold approval

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

J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Manager of certification employee (since 29 May 2018)
- [FCA CF] Client dealing (since 7 Mar 2016)
- CF30 Customer (2 Nov 2012 to 6 Mar 2016)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- [FCA CF] Client dealing (13 Jun 2018 to 30 Jan 2020)
- [FCA CF] Manager of certification employee (13 Jun 2018 to 30 Jan 2020)
Panmure Liberum Capital Limited (no longer approved here)
FRN 465050
- CF30 Customer (23 Jun 2008 to 1 Nov 2012)
Societe Generale (no longer approved here)
FRN 124866
- CF30 Customer (1 Nov 2007 to 6 Jun 2008)
- CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF21 Investment Adviser (29 Jan 2003 to 3 Nov 2006)

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.