James Dominic Brooke

Watch for changes

Where they hold approval

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

Hanover Investors Management LLP (no longer approved here)
FRN 423751
- SMF27 Partner (7 Oct 2020 to 23 Mar 2022)
- [FCA CF] Client dealing (1 Jun 2020 to 7 Mar 2022)
Lombard Odier Asset Management (Europe) Limited (no longer approved here)
FRN 515393
- CF30 Customer (3 Apr 2017 to 8 Dec 2019)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF30 Customer (4 Apr 2011 to 28 Feb 2017)
Spark Impact Limited (no longer approved here)
FRN 143361
- CF1 Director (25 Nov 2004 to 5 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 5 Oct 2007)
SPARK Venture Management Limited (no longer approved here)
FRN 147593
- CF1 Director (25 Nov 2004 to 5 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 5 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.