James Dogeron Douglas

Watch for changes

Where they hold approval

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

Polar Capital LLP
FRN 438046
- [FCA CF] Client dealing (since 1 Apr 2020)
- CF30 Customer (25 Sep 2015 to 8 Dec 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (9 May 2012 to 5 Jun 2015)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (22 Aug 2011 to 11 Apr 2012)
Panmure Liberum Capital Limited (no longer approved here)
FRN 465050
- CF30 Customer (16 Jan 2009 to 14 Aug 2009)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (1 Nov 2007 to 25 Nov 2008)
- CF21 Investment Adviser (29 Nov 2004 to 31 Oct 2007)
Societe Generale (no longer approved here)
FRN 124866
- CF21 Investment Adviser (26 Apr 2004 to 25 Oct 2004)

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.