James Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • Close Brothers Limited

    FRN 124750

    • [FCA CF] Manager of certification employee (since 28 Nov 2024)
    • [FCA CF] Material risk taker (since 18 Dec 2023)
    • [FCA CF] Significant management (since 18 Dec 2023)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • [FCA CF] Manager of certification employee (10 May 2018 to 1 Sep 2021)
    • [PRA CF] Significant risk taker or Material risk taker (1 Dec 2016 to 1 Sep 2021)
    • [FCA CF] Material risk taker (1 Dec 2016 to 1 Sep 2021)
    • [FCA CF] Significant management (1 Dec 2016 to 1 Sep 2021)

Recent activity

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

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