Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
James Murray Associates Limited
FRN 458363
- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Significant management (since 1 Jan 2020)
- [FCA CF] Client dealing (since 1 Jan 2020)
- [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
- [FCA CF] Manager of certification employee (since 1 Jan 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 13 Sep 2019)
- CF10 Compliance Oversight (13 Sep 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (13 Sep 2019 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (31 Aug 2007 to 31 Oct 2007)
- CF1 Director (31 Aug 2007 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (31 Aug 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.