Nicholas James Laux

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.

  • Bank of America, N.A.

    FRN 124642

    • [FCA CF] Significant management (since 4 Jan 2024)
    • [FCA CF] Manager of certification employee (since 2 Oct 2023)
    • [FCA CF] Material risk taker (since 20 Sep 2023)
    • [FCA CF] Client dealing (since 12 Sep 2023)
  • Merrill Lynch International

    FRN 147150

    • [FCA CF] Significant management (since 4 Jan 2024)
    • [FCA CF] Manager of certification employee (since 2 Oct 2023)
    • [FCA CF] Material risk taker (since 20 Sep 2023)
    • [FCA CF] Client dealing (since 12 Sep 2023)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • [FCA CF] Significant management (3 Apr 2023 to 13 Aug 2023)
    • [FCA CF] Client dealing (20 Aug 2018 to 13 Aug 2023)
    • [FCA CF] Algorithmic trading (20 Aug 2018 to 13 Aug 2023)
    • [FCA CF] Manager of certification employee (20 Aug 2018 to 13 Aug 2023)
    • [FCA CF] Material risk taker (20 Aug 2018 to 13 Aug 2023)
  • Morgan Stanley Bank International Limited (no longer approved here)

    FRN 195430

    • [FCA CF] Significant management (3 Apr 2023 to 13 Aug 2023)
    • [FCA CF] Algorithmic trading (20 Aug 2018 to 13 Aug 2023)
    • [FCA CF] Client dealing (20 Aug 2018 to 13 Aug 2023)
    • [FCA CF] Manager of certification employee (20 Aug 2018 to 13 Aug 2023)
    • [FCA CF] Material risk taker (20 Aug 2018 to 13 Aug 2023)
  • Goldman Sachs International Bank (no longer approved here)

    FRN 124659

    • CF30 Customer (11 Apr 2013 to 6 Mar 2016)
  • Goldman Sachs Bank USA (no longer approved here)

    FRN 582328

    • CF30 Customer (21 Mar 2013 to 6 Mar 2016)

Recent activity

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

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