James Ockendon

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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] Manager of certification employee (since 28 Jul 2021)
- [FCA CF] Client dealing (since 7 Oct 2016)
- CF30 Customer (1 May 2015 to 6 Mar 2016)
Horizon3 Investment Management LLP (no longer approved here)
FRN 403434
- CF10 Compliance Oversight (24 Sep 2013 to 3 Mar 2014)
- CF30 Customer (1 Nov 2007 to 16 May 2014)
- CF21 Investment Adviser (25 Aug 2006 to 31 Oct 2007)

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.