JAMES Ashworth

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Where they hold approval

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

Allianz Global Investors UK Limited
FRN 959195
- [FCA CF] Client dealing (since 30 May 2023)
USS Investment Management Limited (no longer approved here)
FRN 564285
- CF30 Customer (7 Aug 2017 to 8 Dec 2019)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (1 Nov 2007 to 25 Feb 2011)
- CF21 Investment Adviser (24 Apr 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (19 Oct 2005 to 21 Apr 2006)

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.