James William Alexander Simpson

Watch for changes

Where they hold approval

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

CULVER FINANCIAL MANAGEMENT LIMITED (no longer approved here)
FRN 114852
- CF30 Customer (4 Jul 2016 to 31 Aug 2016)
Cavendish Capital Markets Limited (no longer approved here)
FRN 467766
- CF30 Customer (13 Jan 2014 to 29 Jan 2016)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (15 Feb 2012 to 6 Apr 2013)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (6 Sep 2011 to 3 Feb 2012)
WINTERFLOOD SECURITIES LIMITED (no longer approved here)
FRN 141455
- CF21 Investment Adviser (16 Aug 2002 to 31 Mar 2004)

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.