James Liu

Watch for changes

Where they hold approval

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

BlueCrest Capital Management (UK) LLP
FRN 515304
- [FCA CF] Client dealing (since 1 Nov 2021)
J.P. Morgan SE (no longer approved here)
FRN 755066
- [FCA CF] Client dealing (13 Nov 2020 to 26 Oct 2021)
- [FCA CF] Material risk taker (13 Nov 2020 to 26 Oct 2021)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- [FCA CF] Material risk taker (24 Oct 2019 to 26 Oct 2021)
- [FCA CF] Client dealing (5 Aug 2019 to 26 Oct 2021)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- [FCA CF] Material risk taker (24 Oct 2019 to 26 Oct 2021)
- [FCA CF] Client dealing (5 Aug 2019 to 26 Oct 2021)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- [FCA CF] Client dealing (7 Mar 2016 to 24 Jul 2019)
- CF30 Customer (15 Jul 2013 to 6 Mar 2016)
Goldman Sachs Bank USA (no longer approved here)
FRN 582328
- CF30 Customer (15 Jul 2013 to 6 Mar 2016)

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.