James Lavey

Watch for changes

Where they hold approval

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

Columbia Threadneedle Management Limited
FRN 119230
- [FCA CF] Client dealing (since 17 May 2024)
- [FCA CF] Material risk taker (since 17 May 2024)
Threadneedle Asset Management Limited
FRN 122194
- [FCA CF] Client dealing (since 17 May 2024)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF30 Customer (20 Aug 2015 to 8 Dec 2019)
Threadneedle International Limited
FRN 143014
- [FCA CF] Client dealing (since 17 May 2024)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF30 Customer (20 Aug 2015 to 8 Dec 2019)
BNP Paribas Asset Management UK Limited (no longer approved here)
FRN 170064
- CF30 Customer (1 Oct 2012 to 1 Jan 2013)

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.