Gregory Paul Rossi

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Where they hold approval

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

MarketAxess Europe Limited
FRN 196601
- SMF16 Compliance Oversight (since 16 Apr 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Apr 2024)
- [FCA CF] Material risk taker (since 4 Jan 2024)
MarketAxess Post-Trade Limited
FRN 491843
- SMF16 Compliance Oversight (since 16 Apr 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Apr 2024)
MarketAxess Capital Limited
FRN 724949
- SMF16 Compliance Oversight (since 16 Apr 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Apr 2024)
- [FCA CF] Material risk taker (since 4 Jan 2024)

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.