James Bainbridge

Watch for changes

Where they hold approval

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

SMBC Bank International plc
FRN 223304
- [FCA CF] Client dealing (since 23 Sep 2024)
SMBC Nikko Capital Markets Limited (no longer approved here)
FRN 171935
- [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
- CF30 Customer (23 Mar 2015 to 8 Dec 2019)
Mizuho International plc (no longer approved here)
FRN 119256
- CF30 Customer (1 Nov 2007 to 29 Aug 2014)
- CF21 Investment Adviser (14 Nov 2006 to 31 Oct 2007)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF21 Investment Adviser (24 Jul 2002 to 17 Oct 2006)

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.