Suli Chen

Watch for changes

Where they hold approval

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

ERNST & YOUNG LLP (no longer approved here)
FRN 196203
- [FCA CF] Client dealing (9 Dec 2019 to 25 Jul 2020)
- CF30 Customer (31 Oct 2018 to 8 Dec 2019)
Daiwa Corporate Advisory Limited (no longer approved here)
FRN 175853
- CF30 Customer (26 Sep 2013 to 3 Apr 2017)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF30 Customer (14 Oct 2010 to 20 Feb 2012)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF30 Customer (14 Oct 2010 to 20 Feb 2012)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (31 Oct 2008 to 3 Sep 2010)

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.