Last updated
1 week ago
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Where they hold approval

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

    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Mar 2020)
    • SMF1 Chief Executive (since 2 Mar 2020)
    • SMF16 Compliance Oversight (since 2 Mar 2020)
    • SMF3 Executive Director (since 2 Mar 2020)
  • J.P. Morgan Investment Management Inc (no longer approved here)

    FRN 119267

    • CF30 Customer (1 Nov 2007 to 23 Dec 2016)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • JPMorgan Asset Management (UK) Limited (no longer approved here)

    FRN 119337

    • CF30 Customer (1 Nov 2007 to 23 Dec 2016)
    • CF27 Investment Management (2 Apr 2002 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 20 Dec 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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