Carl David James

Watch for changes

Where they hold approval

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

Ipreo Limited
FRN 775369
- SMF3 Executive Director (since 26 Aug 2025)
BNP Paribas Asset Management UK Limited (no longer approved here)
FRN 170064
- CF30 Customer (2 Jul 2010 to 3 Jan 2013)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF26 Customer Trading (2 Feb 2004 to 22 Aug 2007)
Janus Henderson Fund Management UK Limited (no longer approved here)
FRN 121859
- CF26 Customer Trading (2 Feb 2004 to 22 Aug 2007)

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.