Michael James Dafforn

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Where they hold approval

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

Nomura Bank International Plc. (no longer approved here)
FRN 204419
- [FCA CF] Material risk taker (11 Nov 2019 to 2 Jan 2020)
- [FCA CF] Client dealing (7 Aug 2017 to 2 Jan 2020)
Nomura International Plc (no longer approved here)
FRN 124422
- [FCA CF] Material risk taker (11 May 2018 to 2 Jan 2020)
- [FCA CF] Client dealing (18 Jul 2017 to 2 Jan 2020)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF30 Customer (4 Aug 2014 to 6 Mar 2016)

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.