Gareth Hywel James

Watch for changes

Where they hold approval

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

TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (26 Jun 2018 to 8 Dec 2019)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF30 Customer (7 Feb 2017 to 8 Dec 2019)
TRIUM CAPITAL LLP (no longer approved here)
FRN 497640
- CF10 Compliance Oversight (14 Aug 2012 to 11 Aug 2016)
- CF11 Money Laundering Reporting (14 Aug 2012 to 11 Aug 2016)
- CF30 Customer (14 Aug 2012 to 28 Sep 2016)
- CF4 Partner (28 May 2009 to 3 Oct 2011)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (1 Nov 2007 to 9 Jan 2008)
- CF21 Investment Adviser (31 Jan 2003 to 31 Oct 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.