Jonathan James Falconer

Watch for changes

Where they hold approval

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

EFG Private Bank Limited (no longer approved here)
FRN 144036
- SMF16 Compliance Oversight (30 Mar 2020 to 1 May 2020)
SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- CF10 Compliance Oversight (29 Feb 2016 to 8 Sep 2019)
- CF11 Money Laundering Reporting (29 Feb 2016 to 8 Sep 2019)
SMBC Derivative Products Limited (no longer approved here)
FRN 172073
- CF11 Money Laundering Reporting (29 Feb 2016 to 8 Sep 2019)
- CF10 Compliance Oversight (29 Feb 2016 to 8 Sep 2019)
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)
FRN 114627
- CF11 Money Laundering Reporting (20 Apr 2011 to 5 Sep 2012)
Credit Suisse (UK) Limited (no longer approved here)
FRN 124269
- CF11 Money Laundering Reporting (20 Apr 2011 to 5 Sep 2012)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF11 Money Laundering Reporting (20 Apr 2011 to 5 Sep 2012)

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.