James Duncan Small

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.

  • Tradition (UK) Limited (no longer approved here)

    FRN 139200

    • [FCA CF] Client dealing (1 Jun 2021 to 31 Oct 2021)
  • TFS Derivatives Limited (no longer approved here)

    FRN 197244

    • [FCA CF] Client dealing (1 Jun 2021 to 31 Oct 2021)
  • TP ICAP E&C Limited (no longer approved here)

    FRN 146880

    • [FCA CF] Client dealing (31 Mar 2020 to 30 Sep 2020)
    • [FCA CF] Manager of certification employee (31 Mar 2020 to 30 Sep 2020)
    • CF29 Significant management (21 Nov 2007 to 21 Sep 2009)

Recent activity

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

No changes recorded yet.