James Hugh Harries

Watch for changes

Where they hold approval

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

Troy Asset Management Limited
FRN 195764
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF30 Customer (15 Jun 2016 to 8 Dec 2019)
The Bank of New York Mellon (no longer approved here)
FRN 122467
- CF30 Customer (1 Jul 2008 to 21 Dec 2015)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- CF30 Customer (1 Nov 2007 to 14 Dec 2015)
- CF27 Investment Management (21 Jul 2005 to 31 Oct 2007)
BNY Mellon Investment Management EMEA Limited (no longer approved here)
FRN 119196
- CF27 Investment Management (1 Dec 2001 to 8 Jan 2002)

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.