Se-Woong Chang

Watch for changes

Where they hold approval

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

NH Investment & Securities Europe Ltd
FRN 950241
- SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Apr 2022)
- SMF16 Compliance Oversight (since 6 Apr 2022)
MIRAE ASSET SECURITIES (UK) LTD. (no longer approved here)
FRN 149240
- CF11 Money Laundering Reporting (6 Feb 2014 to 3 Jan 2019)
- CF10a CASS Oversight function (3 Feb 2014 to 3 Jan 2019)
Queen Street Finance Ltd (no longer approved here)
FRN 149145
- CF11 Money Laundering Reporting (20 Mar 2008 to 31 Jan 2013)
- CF10 Compliance Oversight (20 Mar 2008 to 31 Jan 2013)
- CF1 Director (2 Feb 2006 to 31 Jan 2013)
- CF8 Apportionment and Oversight (2 Feb 2006 to 31 Oct 2007)

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.