John Coates

Watch for changes

Where they hold approval

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

JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- [FCA CF] Client dealing (7 Mar 2016 to 24 Nov 2020)
- CF30 Customer (18 Sep 2013 to 6 Mar 2016)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- [FCA CF] Client dealing (7 Mar 2016 to 24 Nov 2020)
- CF30 Customer (18 Sep 2013 to 6 Mar 2016)
Oppenheimer Europe Ltd. (no longer approved here)
FRN 483856
- CF30 Customer (4 Mar 2013 to 2 Aug 2013)
Mizuho International plc (no longer approved here)
FRN 119256
- CF30 Customer (12 Dec 2008 to 8 Nov 2012)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (341)CF21 Investment Adviser (1 Dec 2001 to 21 Sep 2007)

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

1 day ago
controlled function added: (341)CF21 Investment Adviser 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.