Esmail Afsah

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] Client dealing (since 8 Aug 2018)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- [FCA CF] Client dealing (8 Aug 2018 to 30 Jan 2020)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (3 Sep 2012 to 6 Mar 2016)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF30 Customer (23 Apr 2010 to 4 Dec 2011)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (1 Nov 2007 to 16 Jan 2008)
- CF21 Investment Adviser (24 Dec 2003 to 31 Oct 2007)
Citibank, N.A. (no longer approved here)
FRN 124704
- CF30 Customer (1 Nov 2007 to 16 Jan 2008)
- CF21 Investment Adviser (2 Nov 2006 to 31 Oct 2007)

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.