Richard Alexei Warne

Watch for changes

Where they hold approval

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

Aviva Investors Global Services Limited (no longer approved here)
FRN 119178
- CF30 Customer (31 Mar 2009 to 1 May 2013)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF16 Significant Mgt (Desgntd Investment Business) (29 Nov 2005 to 26 Apr 2006)
- CF21 Investment Adviser (1 Feb 2005 to 3 May 2007)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 26 Apr 2006)
- CF21 Investment Adviser (1 Dec 2001 to 29 Sep 2004)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)

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.