Jiachen Shen

Watch for changes

Where they hold approval

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

Bank of China Limited London Branch
FRN 170910
- [FCA CF] Client dealing (since 1 Dec 2025)
- [FCA CF] Client dealing (27 Jan 2020 to 17 Dec 2021)
CLSA (UK) (no longer approved here)
FRN 140836
- [FCA CF] Client dealing (10 Jan 2022 to 7 Mar 2025)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (435)CF30 Customer (8 Jun 2018 to 8 Nov 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (16 Apr 2014 to 6 Mar 2016)

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

1 day ago
controlled function added: (435)CF30 Customer at Novate Global Markets Limited

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.