ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Senior staff personally approved by the FCA to hold their roles here.

Simon Peter Risby
IRN SPR01102
- (1011)CF28 Systems and controls (10 Aug 2011 to 29 May 2015)
Simon Price
IRN SXP00083
- (1125)CF22 Investment Adviser (Trainee) (1 May 2002 to 3 Jun 2003)
Simon Roderick Batcheler
IRN SRB01099
- (2129)CF21 Investment Adviser (14 Jan 2002 to 3 Jun 2003)
Simon Skelton Herbert
IRN SSH00006
- (2082)CF21 Investment Adviser (1 Dec 2001 to 19 Feb 2002)
Simon Victor Gaunt
IRN SVG00001
- (982)CF21 Investment Adviser (1 Dec 2001 to 8 Nov 2002)
Simon William David Fraser
IRN SXF00319
- (102)SMF7 Group Entity Senior Manager (since 16 Jul 2024)
Simon William Field
IRN SWF00001
- (1077)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Simon William Lipp
IRN SWL00009
- (2094)CF21 Investment Adviser (18 Nov 2002 to 3 Jun 2003)
- (2093)CF22 Investment Adviser (Trainee) (18 Nov 2002 to 18 Nov 2002)
Smain Badaoui
IRN SXB00076
- (144)CF21 Investment Adviser (29 May 2003 to 29 May 2003)
- (143)CF22 Investment Adviser (Trainee) (9 Jan 2003 to 29 May 2003)
Soji Ajayi
IRN SXA00002
- (1287)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Smaller firms operating under this firm's FCA authorisation.

Mortgage Line Services (no longer appointed)
FRN 224341 · Appointed 14 Apr 2003 · Until 3 Jun 2004
Alastair Clarke & Co (no longer appointed)
FRN 223798 · Appointed 25 Mar 2003 · Until 28 Apr 2004
E M Manuel Goldman (no longer appointed)
FRN 223739 · Appointed 20 Mar 2003 · Until 3 Jun 2004
Trafalgar Square Financial Planning Consultants (no longer appointed)
FRN 223710 · Appointed 18 Mar 2003 · Until 3 Jun 2004
Advanced Financial Management (no longer appointed)
FRN 223709 · Appointed 18 Mar 2003 · Until 3 Jun 2004
Stepping Stones Estate Agents Ltd (no longer appointed)
FRN 223357 · Appointed 6 Mar 2003 · Until 3 Jun 2004
ACA Asset Finance Ltd (no longer appointed)
FRN 223209 · Appointed 28 Feb 2003 · Until 3 Jun 2004
Chris Haley (no longer appointed)
FRN 223202 · Appointed 28 Feb 2003 · Until 3 Jun 2004
Chris Webb Consultancy (no longer appointed)
FRN 223208 · Appointed 28 Feb 2003 · Until 3 Jun 2004
Authorised Financial Advisers (no longer appointed)
FRN 222956 · Appointed 19 Feb 2003 · Until 15 May 2003

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

3 days ago
controlled function added: (94)SMF7 Group Entity Senior Manager
3 days ago
controlled function added: (93)SMF7 Group Entity Senior Manager
3 days ago
controlled function added: (92)SMF17 Money Laundering Reporting Officer (MLRO)
3 days ago
controlled function added: (91)SMF2 Chief Finance
3 days ago
controlled function added: (90)SMF3 Executive Director
3 days ago
controlled function added: (89)[FCA CF] Significant management
3 days ago
controlled function added: (88)[FCA CF] Functions requiring qualifications
3 days ago
controlled function added: (87)[FCA CF] Manager of certification employee
3 days ago
controlled function added: (86)[FCA CF] Material risk taker
3 days ago
controlled function added: (85)[FCA CF] Client dealing

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. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.