James Michael Walker

Last updated
5 days ago
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Where they hold approval

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

  • Nickel Digital Asset Management Limited

    FRN 918770

    • SMF16 Compliance Oversight (since 2 Jun 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jun 2025)
  • Shiprock Capital Management Limited (no longer approved here)

    FRN 998938

    • SMF3 Executive Director (5 Apr 2024 to 31 Mar 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Apr 2024 to 31 Mar 2025)
    • SMF16 Compliance Oversight (5 Apr 2024 to 31 Mar 2025)
  • CAPRICORN FUND MANAGERS LIMITED (no longer approved here)

    FRN 505252

    • CF30 Customer (11 Nov 2022 to 4 Apr 2024)
  • Aspect Capital Limited (no longer approved here)

    FRN 188395

    • CF30 Customer (1 Nov 2007 to 25 Feb 2009)
    • CF28 Systems and controls (1 Nov 2007 to 25 Feb 2009)
    • CF1 Director (15 May 2006 to 25 Feb 2009)
    • CF13 Finance (15 May 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (19 Jan 2005 to 31 Oct 2007)
  • 3i Investments Plc (no longer approved here)

    FRN 195262

    • CF27 Investment Management (27 Feb 2002 to 31 Jul 2004)

Recent activity

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

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