James Francis Ind

Watch for changes

Where they hold approval

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

Santander Asset Management UK Limited
FRN 122491
- [FCA CF] Significant management (since 3 Feb 2025)
- [FCA CF] Client dealing (since 18 Jan 2024)
- [FCA CF] Manager of certification employee (since 18 Jan 2024)
- [FCA CF] Material risk taker (since 18 Jan 2024)
Baring International Investment Limited (no longer approved here)
FRN 122628
- CF30 Customer (11 Mar 2016 to 4 Sep 2017)
Baring Asset Management Limited (no longer approved here)
FRN 170601
- CF30 Customer (11 Mar 2016 to 4 Sep 2017)
GLG Partners LP (no longer approved here)
FRN 186093
- CF30 Customer (18 Jul 2013 to 3 Sep 2015)
Russell Investments Limited (no longer approved here)
FRN 122282
- CF30 Customer (31 Aug 2011 to 12 Jul 2013)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF27 Investment Management (1 Dec 2001 to 30 Sep 2006)

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.