Graham Paul Bates

Last updated
2 weeks ago
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Where they hold approval

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

  • Capula Investment Management LLP (no longer approved here)

    FRN 433422

    • [FCA CF] Manager of certification employee (11 Sep 2023 to 26 Jul 2024)
    • [FCA CF] Client dealing (1 Sep 2020 to 31 Jan 2026)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (17 May 2017 to 28 Aug 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 28 Aug 2020)
    • CF30 Customer (2 May 2012 to 6 Mar 2016)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Client dealing (7 Mar 2016 to 28 Aug 2020)
    • [FCA CF] Material risk taker (7 Mar 2016 to 28 Aug 2020)
    • CF30 Customer (2 May 2012 to 6 Mar 2016)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.