James Michael Pugh

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Where they hold approval

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

HSBC Bank Plc
FRN 114216
- [FCA CF] Client dealing (since 12 Oct 2016)
- [PRA CF] Significant risk taker or Material risk taker (26 Apr 2016 to 7 Aug 2017)
- CF30 Customer (15 May 2012 to 6 Mar 2016)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (1 Nov 2007 to 10 Jan 2012)
- CF21 Investment Adviser (13 Aug 2007 to 31 Oct 2007)
DB UK Bank Limited (no longer approved here)
FRN 140848
- CF21 Investment Adviser (30 Apr 2002 to 29 Oct 2004)

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.