James Philip Daunt

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] Managing a material risk taker (since 11 Aug 2020)
    • [FCA CF] Manager of certification employee (since 5 Apr 2019)
    • [FCA CF] Client dealing (since 19 Nov 2018)
    • [PRA CF] Significant risk taker or Material risk taker (since 19 Nov 2018)
    • [FCA CF] Material risk taker (since 19 Nov 2018)
  • Mizuho International plc (no longer approved here)

    FRN 119256

    • CF30 Customer (22 Jan 2015 to 6 Mar 2016)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 26 Sep 2013)
    • CF26 Customer Trading (14 Mar 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (14 Mar 2003 to 31 Oct 2007)
  • National Australia Bank Limited (no longer approved here)

    FRN 141309

    • CF30 Customer (1 Nov 2007 to 31 Dec 2014)
    • CF21 Investment Adviser (14 Mar 2003 to 31 Oct 2007)
    • CF26 Customer Trading (14 Mar 2003 to 31 Oct 2007)
  • Northern Bank Limited (no longer approved here)

    FRN 122261

    • CF26 Customer Trading (14 Mar 2003 to 28 Feb 2005)
    • CF21 Investment Adviser (14 Mar 2003 to 28 Feb 2005)

Recent activity

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

No changes recorded yet.