James Joly

Last updated
2 weeks ago
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Where they hold approval

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

  • Moncrieff Joly (Financial Services) LLP

    FRN 462484

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Mar 2007 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Mar 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
    • CF4 Partner (1 Mar 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Mar 2007 to 30 Sep 2018)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2003)

Recent activity

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

No changes recorded yet.