Nok Lai To

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • JPMorgan Chase Bank, National Association

    FRN 124491

    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Significant management (since 28 Oct 2020)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 8 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF26 Customer Trading (6 Jun 2005 to 31 Oct 2007)
  • J.P. Morgan Securities plc

    FRN 155240

    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Significant management (since 28 Oct 2020)
    • [FCA CF] Material risk taker (since 17 May 2017)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 8 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF26 Customer Trading (6 Jun 2005 to 31 Oct 2007)
  • J.P. Morgan SE (no longer approved here)

    FRN 755066

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Oct 2021)

Recent activity

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

No changes recorded yet.