Mark James Ashley

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 30 Nov 2017)
- CF30 Customer (since 17 Jun 2015)
Mark James Ashley Wealth Management Ltd
FRN 706102
- (2)Employed By (since 10 Jun 2015)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (16 Apr 2014 to 29 Jun 2015)
Nationwide Building Society (no longer approved here)
FRN 106078
- CF30 Customer (9 Oct 2012 to 16 Jan 2014)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (1 Nov 2007 to 30 Sep 2012)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

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.