James Alexander Duffy

Last updated
1 week ago
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Where they hold approval

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

  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [PRA CF] Significant risk taker or Material risk taker (19 Aug 2019 to 7 Feb 2020)
    • [FCA CF] Manager of certification employee (24 Apr 2019 to 7 Feb 2020)
    • [FCA CF] Client dealing (6 Apr 2018 to 28 Feb 2020)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [PRA CF] Significant risk taker or Material risk taker (19 Aug 2019 to 7 Feb 2020)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (13 Oct 2010 to 6 Mar 2016)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (13 Oct 2010 to 6 Mar 2016)
  • Societe Generale (no longer approved here)

    FRN 124866

    • CF30 Customer (28 Jul 2009 to 14 May 2010)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF30 Customer (11 May 2009 to 29 Jun 2009)

Recent activity

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

No changes recorded yet.