James Barham

Last updated
2 weeks ago
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Where they hold approval

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

  • Schroder Investment Management Limited

    FRN 119348

    • [FCA CF] Material risk taker (since 24 Sep 2025)
    • [FCA CF] Manager of certification employee (since 3 Feb 2025)
    • [FCA CF] Client dealing (since 1 Feb 2025)
    • [FCA CF] Material risk taker (5 Apr 2022 to 3 Feb 2025)
  • Schroder Unit Trusts Limited

    FRN 197288

    • [FCA CF] Manager of certification employee (since 14 Aug 2023)
    • [FCA CF] Material risk taker (since 5 Apr 2022)
  • Schroders IS Limited

    FRN 195028

    • [FCA CF] Client dealing (since 8 Aug 2022)
    • SMF9 Chair of the Governing Body (since 20 Oct 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (10 Oct 2018 to 8 Dec 2019)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • [FCA CF] Material risk taker (5 Apr 2022 to 16 Jun 2025)
  • Schroder Pension Management Limited (no longer approved here)

    FRN 442769

    • [FCA CF] Material risk taker (5 Apr 2022 to 16 Jun 2025)
  • River Global Investors LLP (no longer approved here)

    FRN 453087

    • [FCA CF] Manager of certification employee (15 Sep 2020 to 31 Jan 2022)
    • [FCA CF] Material risk taker (15 Sep 2020 to 31 Jan 2022)
    • [FCA CF] Client dealing (15 Sep 2020 to 31 Jan 2022)
    • [FCA CF] Significant management (15 Sep 2020 to 31 Jan 2022)
    • SMF9 Chair of the Governing Body (20 Feb 2020 to 14 Jun 2022)
    • SMF27 Partner (9 Dec 2019 to 14 Jun 2022)
    • CF30 Customer (1 Nov 2007 to 14 Sep 2011)
    • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • CF3 Chief Executive (2 Oct 2006 to 27 Nov 2019)
    • CF4 Partner (2 Oct 2006 to 8 Dec 2019)
  • Pacific Capital Partners Limited (no longer approved here)

    FRN 171200

    • CF30 Customer (1 Nov 2007 to 9 Jan 2008)
    • CF21 Investment Adviser (25 Apr 2006 to 31 Oct 2007)
  • ICG MANAGER LIMITED (no longer approved here)

    FRN 189955

    • CF27 Investment Management (6 Sep 2004 to 1 Feb 2005)
    • CF1 Director (6 Sep 2004 to 23 May 2005)

Recent activity

Updates to this individual's record on the FCA register.

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