James John Trafford

Watch for changes

Where they hold approval

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

FIL Investments International
FRN 122170
- [FCA CF] Client dealing (since 5 Feb 2024)
- CF30 Customer (30 Sep 2013 to 14 May 2014)
FIL Investment Advisors (UK) Limited
FRN 159360
- [FCA CF] Client dealing (since 5 Feb 2024)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (28 Jan 2009 to 20 Jun 2011)

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.