James Robert Mortimer

Last updated
1 week ago
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Where they hold approval

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

  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [PRA CF] Significant risk taker or Material risk taker (25 Apr 2022 to 31 Jul 2023)
    • [FCA CF] Manager of certification employee (21 Aug 2019 to 7 Jul 2023)
    • [FCA CF] Client dealing (28 Oct 2016 to 31 Jul 2023)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (18 Dec 2006 to 31 Oct 2007)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [PRA CF] Significant risk taker or Material risk taker (25 Apr 2022 to 31 Jul 2023)
    • [FCA CF] Manager of certification employee (14 Sep 2020 to 4 Feb 2021)

Recent activity

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

No changes recorded yet.