James Alexander Stone

Watch for changes

Where they hold approval

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

JEFFERIES INTERNATIONAL LIMITED
FRN 139253
- [FCA CF] Client dealing (since 6 Aug 2021)
RBC Europe Limited (no longer approved here)
FRN 124543
- [FCA CF] Manager of certification employee (15 Jul 2019 to 26 Jul 2021)
- [FCA CF] Client dealing (2 Jun 2017 to 26 Jul 2021)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF30 Customer (13 Nov 2014 to 21 Dec 2016)

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.