James Sullivan

Watch for changes

Where they hold approval

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

NCM Fund Services Limited
FRN 183732
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
- CF2 Non Executive Director (10 Sep 2015 to 8 Dec 2019)
MONZO BANK LIMITED (no longer approved here)
FRN 730427
- [FCA CF] Material risk taker (11 Feb 2019 to 30 Oct 2020)
VENTUREBEAM MARKETS LIMITED (no longer approved here)
FRN 794918
- CF30 Customer (12 Oct 2018 to 28 Jan 2019)
- CF10 Compliance Oversight (19 Jul 2018 to 28 Jan 2019)
- CF11 Money Laundering Reporting (19 Jul 2018 to 28 Jan 2019)

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.