Cathy King

Watch for changes

Where they hold approval

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

ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED
FRN 155241
- [FCA CF] Significant management (since 2 Apr 2020)
- [FCA CF] CASS oversight function (2 Apr 2020 to 31 Mar 2026)
- [FCA CF] Manager of certification employee (2 Apr 2020 to 8 Dec 2022)
R C Brown Investment Management Plc (no longer approved here)
FRN 146002
- CF28 Systems and controls (15 May 2013 to 17 Sep 2015)

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.