James Hales

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.

  • UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)

    FRN 114627

    • SMF17 Money Laundering Reporting Officer (MLRO) (14 Sep 2023 to 30 Sep 2024)
    • [FCA CF] Material risk taker (14 Sep 2023 to 14 Jan 2025)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • SMF17 Money Laundering Reporting Officer (MLRO) (14 Sep 2023 to 28 Apr 2025)
    • [FCA CF] Material risk taker (14 Sep 2023 to 3 Feb 2025)
    • [PRA CF] Significant risk taker or Material risk taker (14 Sep 2023 to 3 Feb 2025)
    • [PRA CF] Managing a material risk taker (1 Sep 2023 to 12 Dec 2024)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • SMF17 Money Laundering Reporting Officer (MLRO) (14 Sep 2023 to 15 Sep 2025)
    • [FCA CF] Material risk taker (14 Sep 2023 to 3 Feb 2025)
    • [PRA CF] Significant risk taker or Material risk taker (14 Sep 2023 to 3 Feb 2025)
    • [PRA CF] Managing a material risk taker (1 Sep 2023 to 12 Dec 2024)
  • CMC Markets UK plc (no longer approved here)

    FRN 173730

    • CF10 Compliance Oversight (14 Jul 2011 to 1 Apr 2012)

Recent activity

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

No changes recorded yet.