James David Yu

Watch for changes

Where they hold approval

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

EQT Partners Limited
FRN 917788
- [FCA CF] Significant management (since 24 Jul 2025)
- [FCA CF] Material risk taker (since 24 Jul 2025)
- [FCA CF] Client dealing (since 9 Dec 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (28 May 2010 to 12 Apr 2013)
Mirabella Financial Services LLP (no longer approved here)
FRN 415559
- CF30 Customer (15 Sep 2009 to 5 Mar 2010)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (1 Nov 2007 to 20 Mar 2009)
- CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (1 Nov 2007 to 20 Mar 2009)
- CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (25 Jun 2002 to 8 Oct 2004)

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.