James Lawton

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.

  • FUTURES ASSURED LIMITED

    FRN 441384

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Sep 2024)
    • SMF3 Executive Director (since 20 Sep 2024)
    • Responsibility for MCD Intermediation (since 20 Sep 2024)
    • SMF16 Compliance Oversight (since 20 Sep 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (20 Jun 2011 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (13 Oct 2005 to 4 Dec 2006)

Recent activity

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

No changes recorded yet.