James William Fleming

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.

  • ARBUTHNOT LATHAM & CO., LIMITED (no longer approved here)

    FRN 143336

    • SMF3 Executive Director (9 Aug 2016 to 31 Aug 2017)
    • SMF1 Chief Executive (7 Mar 2016 to 9 Aug 2016)
    • CF1 Director (13 Jan 2012 to 6 Mar 2016)
    • CF3 Chief Executive (13 Jan 2012 to 6 Mar 2016)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF29 Significant management (20 Oct 2009 to 2 Dec 2011)
    • CF30 Customer (1 Nov 2007 to 2 Dec 2011)
    • CF21 Investment Adviser (15 Jun 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Oct 2006 to 15 Jun 2007)
    • CF17 Significant Mgt (Other Business Operations) (2 Jan 2004 to 17 Oct 2005)
    • CF16 Significant Mgt (Desgntd Investment Business) (2 Jan 2004 to 17 Oct 2005)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 11 Jul 2002)

Recent activity

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

No changes recorded yet.