James Duncan

Watch for changes

Where they hold approval

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

Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jan 2022)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF22 Investment Adviser (Trainee) (24 Aug 2007 to 31 Oct 2007)
Gunning Duncan Financial services Ltd (no longer approved here)
FRN 227015
- (1)Employed By (12 Aug 2003 to 29 Nov 2007)
Direct Financial Services Tayside (no longer approved here)
FRN 188272
- Employed By (29 Aug 2000 to 29 Nov 2007)

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.