Mark Pearlman

Watch for changes

Where they hold approval

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

The Bank of Nova Scotia
FRN 141308
- SMF2 Chief Finance (since 12 Nov 2019)
RBC Europe Limited (no longer approved here)
FRN 124543
- [FCA CF] Material risk taker (7 Mar 2017 to 11 Oct 2019)
Royal Bank of Canada (no longer approved here)
FRN 124783
- [FCA CF] Material risk taker (7 Mar 2017 to 11 Oct 2019)
RBC Investor Services Trust (no longer approved here)
FRN 435052
- [FCA CF] Material risk taker (7 Mar 2017 to 11 Oct 2019)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF28 Systems and controls (1 Jul 2008 to 19 Jun 2009)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF28 Systems and controls (1 Jul 2008 to 19 Jun 2009)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF28 Systems and controls (27 Jun 2008 to 19 Jun 2009)
- CF30 Customer (1 Nov 2007 to 22 Jul 2008)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

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.