James Briggs

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Where they hold approval

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

Goldman Sachs International Bank
FRN 124659
- [PRA CF] Significant risk taker or Material risk taker (since 1 Jan 2025)
Goldman Sachs International
FRN 142888
- [FCA CF] Manager of certification employee (since 5 Mar 2024)
- [FCA CF] Client dealing (since 7 Mar 2016)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF21 Investment Adviser (4 Oct 2004 to 10 May 2006)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF21 Investment Adviser (1 Dec 2001 to 28 Sep 2004)

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.