Elton Clark James

Watch for changes

Where they hold approval

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

Mariana UFP LLP (no longer approved here)
FRN 551170
- [FCA CF] Manager of certification employee (19 Jul 2022 to 7 Feb 2024)
- CF11 Money Laundering Reporting (27 Feb 2013 to 8 Aug 2014)
- CF10 Compliance Oversight (27 Feb 2013 to 8 Aug 2014)
- CF4 Partner (13 Feb 2012 to 26 May 2016)
- CF30 Customer (13 Feb 2012 to 8 Dec 2019)
Mariana Investment Partners LLP (no longer approved here)
FRN 605552
- SMF27 Partner (9 Dec 2019 to 21 Jul 2022)
- CF10 Compliance Oversight (27 Jan 2016 to 17 Apr 2018)
- CF11 Money Laundering Reporting (27 Jan 2016 to 17 Apr 2018)
- CF30 Customer (27 Jan 2016 to 8 Dec 2019)
- CF4 Partner (27 Jan 2016 to 8 Dec 2019)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (13 Oct 2008 to 25 Sep 2009)

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.