Yun Sun

Watch for changes

Where they hold approval

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

1OAK Capital Limited
FRN 501453
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF30 Customer (7 May 2019 to 8 Dec 2019)
DWS Investments UK Limited (no longer approved here)
FRN 429806
- CF30 Customer (10 Apr 2015 to 31 Jul 2018)
FinEx Capital Management LLP (no longer approved here)
FRN 550784
- CF30 Customer (6 Jul 2012 to 2 Jan 2015)
Macquarie Bank Ltd (no longer approved here)
FRN 170934
- CF30 Customer (20 May 2010 to 7 Aug 2011)

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.