Pasquale Mauro Diana

Watch for changes

Where they hold approval

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

Principal Global Investors (Europe) Limited
FRN 191120
- [FCA CF] Material risk taker (since 26 Mar 2023)
- [FCA CF] Client dealing (since 26 Mar 2023)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- [FCA CF] Client dealing (7 Sep 2016 to 20 Jun 2019)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 20 Jun 2019)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (12 Dec 2006 to 31 Oct 2007)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2004)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2004)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2004)

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.