Kamal Sharma

Watch for changes

Where they hold approval

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

Merrill Lynch International
FRN 147150
- [FCA CF] Client dealing (since 7 Sep 2016)
State Street Bank and Trust Company (no longer approved here)
FRN 170462
- CF30 Customer (11 Oct 2010 to 16 Jun 2014)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (4 Mar 2008 to 30 Sep 2010)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (4 Mar 2008 to 30 Sep 2010)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF30 Customer (1 Nov 2007 to 11 Jan 2008)
- CF21 Investment Adviser (13 Jun 2005 to 31 Oct 2007)
Commerzbank AG (no longer approved here)
FRN 124920
- CF21 Investment Adviser (1 Dec 2001 to 4 Aug 2003)

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.