James Hugh Charteris Mallinson

Watch for changes

Where they hold approval

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

Oxford Investment Consultants LLP
FRN 807688
- SMF27 Partner (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF30 Customer (2 May 2019 to 8 Dec 2019)
- CF4 Partner (1 Feb 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Feb 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Feb 2019 to 8 Dec 2019)
Santander Financial Services plc (no longer approved here)
FRN 146003
- CF23 Corporate Finance Adviser (4 Jan 2002 to 22 Jul 2002)

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.