James Babbs

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 1 Feb 2021)
- [FCA CF] Material risk taker (1 Feb 2021 to 2 Oct 2023)
- CF30 Customer (30 Aug 2018 to 8 Dec 2019)
TP ICAP Markets Limited (no longer approved here)
FRN 124520
- CF30 Customer (9 May 2008 to 22 Feb 2010)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (1 Nov 2007 to 22 Apr 2008)
- CF21 Investment Adviser (5 Aug 2002 to 31 Oct 2007)

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.