Thomas Duffy

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] Manager of certification employee (since 6 Feb 2025)
- [FCA CF] Client dealing (since 12 Feb 2024)
J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Manager of certification employee (since 6 Feb 2025)
- [FCA CF] Client dealing (since 12 Feb 2024)
Bank of America, N.A. (no longer approved here)
FRN 124642
- [FCA CF] Client dealing (19 Apr 2021 to 21 Nov 2023)
- CF30 Customer (11 Sep 2012 to 15 May 2013)

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.