James Philip Asp

Watch for changes

Where they hold approval

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

Nordea Bank Abp (no longer approved here)
FRN 812850
- SMF7 Group Entity Senior Manager (2 Feb 2022 to 18 Jan 2024)
Deutsche Bank AG (no longer approved here)
FRN 150018
- [FCA CF] Client dealing (7 Mar 2016 to 26 Sep 2017)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 26 Sep 2017)
- [FCA CF] Material risk taker (7 Mar 2016 to 26 Sep 2017)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (26 Oct 2005 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.