James Mulford

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.

  • UBS AG

    FRN 186958

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [PRA CF] Significant risk taker or Material risk taker (since 5 Feb 2025)
    • [FCA CF] Functions requiring qualifications (since 5 Feb 2025)
    • [FCA CF] Manager of certification employee (since 5 Feb 2025)
    • [FCA CF] Material risk taker (since 5 Feb 2025)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Functions requiring qualifications (30 Jul 2021 to 11 Dec 2025)
    • SMF18 Other Overall Responsibility (13 Jan 2020 to 30 Sep 2025)
    • [PRA CF] Significant risk taker or Material risk taker (15 Oct 2019 to 3 Feb 2025)
    • [PRA CF] Managing a material risk taker (15 Oct 2019 to 3 Feb 2025)
    • [FCA CF] Material risk taker (15 Oct 2019 to 3 Feb 2025)

Recent activity

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

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