Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Michael James
FRN 713035
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (18 Dec 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 Dec 2015 to 8 Dec 2019)
- CF2 Non Executive Director (18 Dec 2015 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.