Paul Broadway

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] Client dealing (since 14 Sep 2022)
J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Client dealing (since 14 Sep 2022)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- [FCA CF] Client dealing (14 Sep 2022 to 18 Feb 2025)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- [FCA CF] Manager of certification employee (7 Mar 2020 to 10 Sep 2022)
- [FCA CF] Client dealing (12 Jun 2017 to 10 Sep 2022)
Morgan Stanley Bank International Limited (no longer approved here)
FRN 195430
- [FCA CF] Manager of certification employee (7 Mar 2020 to 10 Sep 2022)
- [FCA CF] Client dealing (12 Jun 2017 to 10 Sep 2022)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (28 Nov 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.