James Midgley Stuttard

Watch for changes

Where they hold approval

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

HSBC Bank Plc (no longer approved here)
FRN 114216
- [FCA CF] Client dealing (17 May 2024 to 25 Nov 2024)
- CF30 Customer (11 Sep 2014 to 6 Mar 2016)
FMR Investment Management (UK) Limited (no longer approved here)
FRN 476031
- CF30 Customer (25 May 2012 to 17 Mar 2014)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF30 Customer (1 Nov 2007 to 17 Jun 2011)
- CF27 Investment Management (12 Nov 2003 to 31 Oct 2007)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF30 Customer (1 Nov 2007 to 17 Jun 2011)
- CF27 Investment Management (12 Nov 2003 to 31 Oct 2007)
PIMCO Europe Ltd (no longer approved here)
FRN 149303
- CF21 Investment Adviser (12 Jan 2002 to 17 Oct 2003)
- CF27 Investment Management (12 Jan 2002 to 17 Oct 2003)

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.