James Su

Watch for changes

Where they hold approval

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

Australia and New Zealand Banking Group Ltd
FRN 114151
- [FCA CF] Client dealing (since 28 Aug 2018)
GF Financial Markets (UK) Limited (no longer approved here)
FRN 114237
- CF30 Customer (28 Feb 2012 to 26 Mar 2013)
Natixis (no longer approved here)
FRN 206092
- CF30 Customer (28 Feb 2012 to 6 Mar 2016)

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.