Duncan Charles Sherriffs

Watch for changes

Where they hold approval

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

Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- [FCA CF] Client dealing (9 Dec 2019 to 15 Sep 2022)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (18 Nov 2003 to 23 Jun 2006)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (18 Nov 2003 to 22 Sep 2005)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (18 Nov 2003 to 23 Jun 2006)
ING Bank N.V. (no longer approved here)
FRN 124940
- CF23 Corporate Finance Adviser (1 Aug 2002 to 12 Sep 2003)

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.