James Mackay

Watch for changes

Where they hold approval

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

Frazer James Ltd
FRN 834451
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (27 Jun 2019 to 8 Dec 2019)
- CF1 Director (27 Jun 2019 to 8 Dec 2019)
John Katsouris & Company (no longer approved here)
FRN 215445
- (2)Employed By (23 Mar 2017 to 16 Oct 2017)
Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (30 Aug 2016 to 7 Sep 2016)

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.