James Chapman

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.

  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Manager of certification employee (7 Mar 2017 to 31 Oct 2025)
    • [FCA CF] Material risk taker (7 Mar 2017 to 31 Oct 2025)
    • [FCA CF] Significant management (7 Mar 2017 to 31 Oct 2025)
    • [FCA CF] Client dealing (7 Mar 2017 to 31 Oct 2025)
    • CF29 Significant management (23 Oct 2015 to 6 Mar 2016)
    • CF30 Customer (24 Aug 2015 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 19 Feb 2003)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • [FCA CF] Client dealing (7 Mar 2017 to 31 Oct 2025)
    • [FCA CF] Material risk taker (7 Mar 2017 to 31 Oct 2025)
    • [FCA CF] Manager of certification employee (7 Mar 2017 to 31 Oct 2025)
    • [FCA CF] Significant management (7 Mar 2017 to 31 Oct 2025)
    • CF29 Significant management (23 Oct 2015 to 6 Mar 2016)
    • CF30 Customer (24 Aug 2015 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 19 Feb 2003)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (14 Jun 2010 to 20 Apr 2015)
  • Westpac Banking Corporation (no longer approved here)

    FRN 124586

    • CF30 Customer (18 May 2009 to 24 May 2010)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 11 Dec 2008)
    • CF21 Investment Adviser (17 Mar 2003 to 31 Oct 2007)

Recent activity

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

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