Lawrence Edmund Ian Waller

Last updated
2 weeks ago
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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] Material risk taker (12 Sep 2019 to 17 Jun 2020)
    • [FCA CF] Manager of certification employee (12 Sep 2019 to 17 Jun 2020)
    • SMF24 Chief Operations (31 Jan 2018 to 12 Sep 2019)
    • SMF3 Executive Director (20 Sep 2016 to 12 Sep 2019)
    • CF29 Significant management (1 Nov 2007 to 6 Mar 2016)
    • CF20 Significant Mgt (Settlements) (21 Aug 2006 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (29 Sep 2005 to 21 Aug 2006)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • [FCA CF] Manager of certification employee (12 Sep 2019 to 17 Jun 2020)
    • SMF24 Chief Operations (31 Jan 2018 to 12 Sep 2019)
    • SMF18 Other Overall Responsibility (7 Mar 2016 to 31 Jan 2018)
    • CF29 Significant management (20 Feb 2014 to 6 Mar 2016)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (12 Sep 2019 to 17 Jun 2020)
    • SMF24 Chief Operations (31 Jan 2018 to 12 Sep 2019)
    • SMF18 Other Overall Responsibility (7 Mar 2016 to 31 Jan 2018)
    • CF1 Director (21 Jan 2010 to 31 Dec 2011)
    • CF29 Significant management (1 Nov 2007 to 6 Mar 2016)
    • CF20 Significant Mgt (Settlements) (21 Aug 2006 to 31 Oct 2007)
  • J.P. Morgan Markets Limited (no longer approved here)

    FRN 114031

    • CF29 Significant management (20 Feb 2014 to 12 Sep 2019)
  • DTCC Derivatives Repository Plc (no longer approved here)

    FRN 526490

    • CF2 Non Executive Director (3 Nov 2010 to 10 Oct 2012)
  • OSTTRA LIMITED (no longer approved here)

    FRN 207294

    • CF2 Non Executive Director (2 Feb 2010 to 17 Dec 2012)

Recent activity

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

No changes recorded yet.