Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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James Sharp & Co LLP
FRN 813845
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2020)
- SMF27 Partner (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] CASS oversight function (9 Dec 2020 to 17 Sep 2024)
- CF10 Compliance Oversight (11 Jan 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 Jan 2019 to 8 Dec 2019)
- CF10a CASS Oversight function (11 Jan 2019 to 8 Dec 2019)
- CF28 Systems and controls (11 Jan 2019 to 8 Dec 2019)
- CF30 Customer (11 Jan 2019 to 8 Dec 2019)
- CF4 Partner (11 Jan 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.