Charles James Ashton

Last updated
2 weeks ago
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Where they hold approval

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

  • Stifel Nicolaus Europe Limited (no longer approved here)

    FRN 190412

    • [FCA CF] Material risk taker (9 Nov 2020 to 4 Jul 2023)
    • SMF3 Executive Director (9 Dec 2019 to 4 Jul 2023)
    • CF1 Director (17 Oct 2017 to 8 Dec 2019)
    • CF28 Systems and controls (17 May 2017 to 8 Dec 2019)
  • SINGER CAPITAL MARKETS SECURITIES LIMITED (no longer approved here)

    FRN 453676

    • CF29 Significant management (17 Aug 2015 to 31 Oct 2016)
    • CF28 Systems and controls (18 Nov 2013 to 17 Aug 2015)
  • Singer Capital Markets Advisory LLP (no longer approved here)

    FRN 568323

    • CF29 Significant management (17 Aug 2015 to 31 Oct 2016)
    • CF28 Systems and controls (18 Nov 2013 to 17 Aug 2015)
  • Noble & Company (UK) Limited (no longer approved here)

    FRN 586297

    • CF2 Non Executive Director (19 Nov 2012 to 18 Nov 2013)
  • Haitong International (UK) Limited (no longer approved here)

    FRN 196482

    • CF28 Systems and controls (10 Aug 2011 to 16 Oct 2013)
    • CF1 Director (13 Feb 2010 to 16 Oct 2013)
  • NCM Fund Services Limited (no longer approved here)

    FRN 183732

    • CF28 Systems and controls (8 May 2009 to 30 Nov 2009)
    • CF1 Director (8 May 2009 to 30 Nov 2009)
  • Amati Global Investors Limited (no longer approved here)

    FRN 198024

    • CF28 Systems and controls (8 May 2009 to 8 Feb 2010)
    • CF1 Director (8 May 2009 to 8 Feb 2010)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF23 Corporate Finance Adviser (11 Dec 2002 to 20 Jul 2004)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Jul 2002)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Jul 2002)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.