James Robert Satterthwaite

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • RM Capital Markets Limited

    FRN 562209

    • SMF16 Compliance Oversight (since 21 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Mar 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Nov 2021)
    • CF11 Money Laundering Reporting (9 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Mar 2018 to 8 Dec 2019)
    • CF30 Customer (16 Jan 2012 to 8 Dec 2019)
    • CF1 Director (16 Jan 2012 to 8 Dec 2019)
  • NCM Fund Services Limited (no longer approved here)

    FRN 183732

    • CF30 Customer (25 Apr 2011 to 1 Mar 2012)
  • RIA Capital Markets Limited (no longer approved here)

    FRN 219706

    • CF30 Customer (8 May 2009 to 30 Mar 2011)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (30 Nov 2007 to 24 Apr 2009)

Recent activity

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

No changes recorded yet.