James Asquith

Watch for changes

Where they hold approval

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

SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- CF30 Customer (4 Oct 2017 to 26 Apr 2018)
Deutsche Bank AG (no longer approved here)
FRN 150018
- [FCA CF] Client dealing (7 Mar 2016 to 15 May 2017)
- CF30 Customer (15 Jun 2015 to 6 Mar 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (9 Nov 2011 to 27 Apr 2015)

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.