James Richard Yong

Watch for changes

Where they hold approval

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

Macquarie Bank Ltd (no longer approved here)
FRN 170934
- [FCA CF] Client dealing (7 Mar 2016 to 30 Oct 2023)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Oct 2023)
- [FCA CF] Material risk taker (7 Mar 2016 to 30 Oct 2023)
- CF30 Customer (19 Jun 2008 to 6 Mar 2016)
GF Financial Markets (UK) Limited (no longer approved here)
FRN 114237
- CF21 Investment Adviser (22 Jun 2005 to 30 Jun 2006)

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.