Mark Westwell

Watch for changes

Where they hold approval

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

State Street Trustees Limited (no longer approved here)
FRN 186237
- SMF3 Executive Director (9 Dec 2019 to 31 Dec 2019)
- CF1 Director (1 Apr 2010 to 8 Dec 2019)
State Street Global Markets International Limited (no longer approved here)
FRN 194525
- CF30 Customer (21 May 2018 to 8 Dec 2019)
State Street Bank and Trust Company (no longer approved here)
FRN 170462
- [FCA CF] Material risk taker (26 Jan 2018 to 31 Dec 2019)
- [FCA CF] Client dealing (26 Jan 2018 to 31 Dec 2019)
- CF30 Customer (1 Oct 2012 to 31 Oct 2014)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)

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.