Yu-En Lu

Watch for changes

Where they hold approval

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

TD Bank Europe Limited (no longer approved here)
FRN 165556
- [FCA CF] Material risk taker (1 Sep 2020 to 15 Dec 2020)
- [FCA CF] Proprietary trader (1 Sep 2020 to 21 Jan 2021)
The Toronto-Dominion Bank (no longer approved here)
FRN 124859
- [FCA CF] Proprietary trader (4 Mar 2019 to 16 Apr 2021)
Millennium Capital Partners LLP (no longer approved here)
FRN 439327
- CF30 Customer (10 Sep 2014 to 1 Mar 2017)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (11 Nov 2010 to 4 Sep 2014)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (11 Nov 2010 to 30 Jan 2014)

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.