James Lockard

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.

  • Astor Ridge LLP

    FRN 579287

    • [FCA CF] Client dealing (since 23 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Jun 2020)
    • SMF16 Compliance Oversight (since 18 Jun 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (20 Aug 2012 to 8 Dec 2019)
    • CF30 Customer (20 Aug 2012 to 8 Dec 2019)
  • Linear Investments Limited (no longer approved here)

    FRN 537389

    • CF30 Customer (18 Feb 2013 to 17 Jul 2014)
  • MET Capital Management LLP (no longer approved here)

    FRN 498617

    • CF30 Customer (15 Nov 2010 to 30 Nov 2012)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 6 Aug 2010)
    • CF21 Investment Adviser (21 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.