Joseph Anthony Duffy

Watch for changes

Where they hold approval

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

MT Capital Management Limited (no longer approved here)
FRN 623887
- CF10 Compliance Oversight (1 Jul 2014 to 10 Jul 2014)
- CF11 Money Laundering Reporting (1 Jul 2014 to 10 Jul 2014)
Yealand Fund Services Limited (no longer approved here)
FRN 530809
- CF10a CASS Oversight function (1 Oct 2011 to 12 Jun 2014)
- CF10 Compliance Oversight (26 Apr 2011 to 12 Jun 2014)
- CF11 Money Laundering Reporting (26 Apr 2011 to 12 Jun 2014)

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.