James Richard Christopher Garvey

Watch for changes

Where they hold approval

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

SMBC Nikko Capital Markets Limited
FRN 171935
- SMF12 Chair of the Remuneration Committee (since 1 Jan 2025)
- SMF13 Chair of the Nominations Committee (since 1 Oct 2024)
- SMF9 Chair of the Governing Body (since 1 Oct 2024)
SMBC Bank International plc
FRN 223304
- Director of firm who is not a certification employee or a SMF manager (since 1 Mar 2024)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (9 Sep 2009 to 6 Mar 2016)

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.