James Baughan

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Where they hold approval

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

VITTY ALEXANDER FINANCIAL SERVICES LIMITED
FRN 435511
- Responsible for Insurance Distribution (since 5 Sep 2025)
- Responsibility for MCD Intermediation (since 5 Sep 2025)
- SMF16 Compliance Oversight (since 22 Jan 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jan 2025)
- SMF3 Executive Director (since 2 Apr 2024)
Metro Bank PLC (no longer approved here)
FRN 488982
- [FCA CF] Significant management (1 Jan 2021 to 31 Dec 2023)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF16 Significant Mgt (Desgntd Investment Business) (25 Apr 2006 to 14 Jul 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.