James Edward Mortimer

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Where they hold approval

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

UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD
FRN 114627
- SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Sep 2024)
UBS Asset Management (UK) Ltd
FRN 119319
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (9 Oct 2017 to 8 Dec 2019)
UBS Asset Management Funds Ltd
FRN 141661
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (9 Oct 2017 to 8 Dec 2019)
UBS Asset Management Life Ltd
FRN 186527
- SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Dec 2018)
- CF11 Money Laundering Reporting (9 Oct 2017 to 9 Dec 2018)

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.