JAMES MACKENZIE JOHNSTONE

Last updated
3 weeks ago
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Where they hold approval

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

  • CGS International Securities UK Ltd.

    FRN 163037

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 May 2020)
    • SMF16 Compliance Oversight (since 28 May 2020)
  • Maybank Securities (London) Limited (no longer approved here)

    FRN 144846

    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Feb 2020)
    • CF3 Chief Executive (10 Sep 2014 to 13 Sep 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Oct 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Oct 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 6 Dec 2019)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.