James Neale

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

    • [PRA CF] Significant risk taker or Material risk taker (since 17 Nov 2020)
    • [FCA CF] Client dealing (since 17 Nov 2020)
    • [FCA CF] Manager of certification employee (since 17 Nov 2020)
    • [FCA CF] Material risk taker (since 17 Nov 2020)
    • [PRA CF] Managing a material risk taker (since 17 Nov 2020)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • [FCA CF] Client dealing (7 Sep 2016 to 30 Jan 2020)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Jan 2020)
  • State Street Global Advisors Limited (no longer approved here)

    FRN 146665

    • CF27 Investment Management (27 Jan 2006 to 5 May 2006)
    • CF26 Customer Trading (11 Mar 2005 to 27 Jan 2006)

Recent activity

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

No changes recorded yet.