James Russell Gray

Watch for changes

Where they hold approval

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

UBS AG
FRN 186958
- [FCA CF] Material risk taker (since 7 Jul 2025)
- [PRA CF] Significant risk taker or Material risk taker (since 7 Jul 2025)
- [FCA CF] Client dealing (since 19 May 2023)
Blackmoor Investment Partners Limited (no longer approved here)
FRN 773910
- CF11 Money Laundering Reporting (1 Sep 2017 to 29 Sep 2017)
- CF30 Customer (1 Sep 2017 to 29 Sep 2017)
- CF1 Director (1 Sep 2017 to 29 Sep 2017)
- CF10 Compliance Oversight (1 Sep 2017 to 29 Sep 2017)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Jan 2013 to 31 Dec 2013)

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.