John Andrew James

Last updated
2 weeks ago
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Where they hold approval

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

  • John Andrew James

    FRN 430635

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 10 Mar 2021)
    • Sole trader dealing with clients for which they require qualification (since 10 Mar 2021)
    • [FCA CF] Client dealing (since 10 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (20 Nov 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 May 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (23 May 2005 to 31 Oct 2007)

Recent activity

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

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