Nicholas Michael Edward 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.

  • Nedbank Private Wealth Limited (no longer approved here)

    FRN 313189

    • Responsibility for MCD Intermediation (21 Mar 2016 to 27 May 2016)
    • SMF4 Chief Risk (7 Mar 2016 to 27 May 2016)
    • CF10 Compliance Oversight (5 Sep 2012 to 6 Mar 2016)
    • CF10a CASS Oversight function (1 Oct 2011 to 6 Mar 2016)
    • CF28 Systems and controls (1 Nov 2007 to 6 Mar 2016)
    • CF14 Risk Assessment (8 Jan 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (8 Jan 2005 to 1 Nov 2009)
    • CF1 Director (8 Jan 2005 to 6 Mar 2016)

Recent activity

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

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