James David Waring

Watch for changes

Where they hold approval

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

Evercore Partners International LLP
FRN 532714
- [FCA CF] Client dealing (since 24 Nov 2020)
- [FCA CF] Significant management (since 24 Nov 2020)
- [FCA CF] Manager of certification employee (since 24 Nov 2020)
- SMF27 Partner (9 Dec 2019 to 13 Mar 2026)
- CF4 Partner (19 Aug 2011 to 8 Dec 2019)
- CF30 Customer (19 Aug 2011 to 8 Dec 2019)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF21 Investment Adviser (1 Dec 2001 to 24 Jun 2005)

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.