James Leslie Rodea

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.

  • SPF Private Clients Limited

    FRN 189213

    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Mar 2023)
    • Responsible for Insurance Mediation (14 Jul 2016 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (26 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Oct 2010 to 8 Dec 2019)
    • CF1 Director (8 May 2008 to 8 Dec 2019)
  • Springtide Capital Limited (no longer approved here)

    FRN 313874

    • Responsible for Insurance Mediation (10 Mar 2005 to 24 Mar 2006)
    • CF1 Director (31 Oct 2004 to 24 Mar 2006)

Recent activity

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

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