James Robert Dundas Sellon

Last updated
2 weeks ago
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Where they hold approval

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

  • MASECO LLP

    FRN 489718

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 14. Managing investments
    • [PRA CF] Managing a material risk taker (since 31 May 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Jul 2021)
    • [FCA CF] Client dealing (since 9 Jul 2021)
    • [FCA CF] Material risk taker (since 9 Jul 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Feb 2024)
    • CF11 Money Laundering Reporting (28 Dec 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (15 May 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (10 Aug 2012 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2008 to 8 Dec 2019)
    • CF4 Partner (1 Dec 2008 to 8 Dec 2019)
  • Buzzacott Financial Services Limited (no longer approved here)

    FRN 131355

    • CF4 Partner (AR) (10 Jul 2008 to 30 Nov 2008)
    • CF30 Customer (1 Jul 2008 to 30 Nov 2008)
  • Maseco LLP (no longer approved here)

    FRN 485355

    • Employed By (1 Jul 2008 to 30 Nov 2008)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 6 May 2008)
    • CF27 Investment Management (23 Jul 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (1 Nov 2007 to 6 May 2008)
    • CF27 Investment Management (23 Jul 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (2 May 2002 to 31 Oct 2007)

Recent activity

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

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