James Gregory

Watch for changes

Where they hold approval

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

ARIA PRIVATE CLIENTS LIMITED (no longer approved here)
FRN 527557
- [FCA CF] Manager of certification employee (19 May 2023 to 14 Jun 2024)
- Appointed representative dealing with clients for which they require qualification (15 May 2023 to 19 May 2023)
- [FCA CF] Client dealing (15 May 2023 to 14 Jun 2024)
- [FCA CF] Significant management (4 Apr 2022 to 14 Jun 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Feb 2023)
- CF30 Customer (21 May 2019 to 8 Dec 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (14 May 2014 to 20 Mar 2015)

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.