James Bastock

Last updated
3 weeks ago
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Where they hold approval

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

  • Morgan Stanley & Co. International Plc

    FRN 165935

    • [FCA CF] Significant management (since 7 Apr 2025)
    • [FCA CF] Manager of certification employee (since 2 Sep 2024)
    • [FCA CF] Client dealing (since 2 Sep 2024)
    • [FCA CF] Material risk taker (2 Sep 2024 to 6 Mar 2026)
  • Morgan Stanley Bank International Limited

    FRN 195430

    • [FCA CF] Significant management (since 7 Apr 2025)
    • [FCA CF] Client dealing (since 2 Sep 2024)
    • [FCA CF] Manager of certification employee (since 2 Sep 2024)
    • [FCA CF] Material risk taker (2 Sep 2024 to 6 Mar 2026)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Manager of certification employee (12 Jul 2017 to 22 Sep 2017)
    • [FCA CF] Client dealing (7 Mar 2016 to 22 Sep 2017)
    • [FCA CF] Material risk taker (7 Mar 2016 to 22 Sep 2017)
    • CF30 Customer (9 Dec 2015 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (29 Sep 2011 to 1 Mar 2012)

Recent activity

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

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