James Edward Day

Watch for changes

Where they hold approval

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

KROLL SECURITIES LTD.
FRN 466588
- CF30 Customer (since 3 Jan 2025)
GLMX Europe Limited
FRN 816569
- (1)Employed By (since 3 Jan 2025)
State Street Bank and Trust Company (no longer approved here)
FRN 170462
- [FCA CF] Manager of certification employee (2 Aug 2021 to 13 Feb 2023)
- [FCA CF] Material risk taker (2 Aug 2021 to 13 Feb 2023)
The Bank of New York Mellon (no longer approved here)
FRN 122467
- [PRA CF] Significant risk taker or Material risk taker (7 Mar 2017 to 26 Sep 2019)
- CF29 Significant management (1 Mar 2014 to 6 Mar 2016)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (1 Nov 2007 to 28 Feb 2011)
- CF21 Investment Adviser (1 Dec 2001 to 31 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.