James Gettie

Watch for changes

Where they hold approval

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

RIVERPARK INVESTMENT & FINANCIAL CONSULTANTS LTD. (no longer approved here)
FRN 455480
- CF30 Customer (22 Sep 2008 to 13 Dec 2012)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2004)
- CF7 Sole Trader (AR) (1 Dec 2001 to 12 Oct 2004)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2004)
- CF7 Sole Trader (AR) (1 Dec 2001 to 12 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.