Fabian Braun

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] Material risk taker (since 15 Sep 2023)
- [FCA CF] Manager of certification employee (since 17 Mar 2022)
- [FCA CF] Client dealing (since 15 Jul 2021)
J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Material risk taker (since 15 Sep 2023)
- [FCA CF] Manager of certification employee (since 17 Mar 2022)
- [FCA CF] Client dealing (since 15 Jul 2021)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Client dealing (14 Feb 2019 to 8 Apr 2021)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- CF30 Customer (3 Dec 2013 to 17 Apr 2019)

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.