Christopher Thomas Cummins

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Where they hold approval

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

Alternatives St James LLP
FRN 430914
- SMF27 Partner (since 13 Feb 2024)
- CF11 Money Laundering Reporting (4 Mar 2015 to 26 Nov 2015)
- CF10 Compliance Oversight (8 Feb 2013 to 16 Aug 2013)
Privalgo Markets Limited (no longer approved here)
FRN 950964
- SMF16 Compliance Oversight (10 May 2022 to 15 Nov 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (10 May 2022 to 15 Nov 2023)
- SMF3 Executive Director (10 May 2022 to 15 Nov 2023)

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.