Caroline Charlotte James

Watch for changes

Where they hold approval

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

Threadmark LLP
FRN 513465
- [FCA CF] Client dealing (since 16 Dec 2025)
Messels Limited (no longer approved here)
FRN 403323
- CF1 Director (AR) (5 Feb 2020 to 30 Jun 2022)
- CF30 Customer (5 Feb 2020 to 30 Jun 2022)
CBRE Indirect Investment Services Limited (no longer approved here)
FRN 159367
- CF30 Customer (8 Sep 2016 to 8 Dec 2019)
First Avenue Partners LLP (no longer approved here)
FRN 453653
- CF30 Customer (21 Dec 2007 to 14 Jul 2016)

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.