Where they hold approval

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

  • HSBC Bank Plc

    FRN 114216

    • [FCA CF] Significant management (since 22 Feb 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 22 Feb 2024)
    • [FCA CF] Manager of certification employee (since 15 Jun 2023)
    • [PRA CF] Managing a material risk taker (since 14 Jun 2023)
    • [FCA CF] Client dealing (since 18 May 2023)
    • [FCA CF] Significant management (since 22 Feb 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 22 Feb 2024)
    • [FCA CF] Manager of certification employee (since 15 Jun 2023)
    • [PRA CF] Managing a material risk taker (since 14 Jun 2023)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Significant management (17 Jun 2021 to 7 May 2023)
    • [FCA CF] Manager of certification employee (5 Apr 2017 to 7 May 2023)
    • [FCA CF] Material risk taker (7 Mar 2016 to 7 May 2023)
    • [FCA CF] Client dealing (7 Mar 2016 to 7 May 2023)
    • CF30 Customer (15 Aug 2011 to 6 Mar 2016)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • [FCA CF] Significant management (17 Jun 2021 to 4 Jul 2022)
    • [FCA CF] Material risk taker (17 May 2017 to 4 Jul 2022)
    • [FCA CF] Manager of certification employee (5 Apr 2017 to 4 Jul 2022)
    • [FCA CF] Client dealing (7 Mar 2016 to 4 Jul 2022)
    • CF30 Customer (27 Nov 2015 to 6 Mar 2016)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Significant management (17 Jun 2021 to 7 May 2023)
    • [FCA CF] Material risk taker (17 May 2017 to 7 May 2023)
    • [FCA CF] Manager of certification employee (5 Apr 2017 to 7 May 2023)
    • [FCA CF] Client dealing (7 Mar 2016 to 7 May 2023)
    • CF30 Customer (15 Aug 2011 to 12 Mar 2012)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 5 Jul 2010)
    • CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)

Recent activity

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

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