James Morecroft Helby

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Where they hold approval

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

BNY Mellon Investment Management EMEA Limited
FRN 119196
- SMF3 Executive Director (since 3 Feb 2026)
- SMF4 Chief Risk (since 13 May 2025)
- CF10 Compliance Oversight (10 Jun 2010 to 1 Jan 2012)
Newton Investment Management Limited
FRN 119331
- SMF3 Executive Director (since 23 Jun 2023)
- SMF4 Chief Risk (since 9 Dec 2019)
- CF28 Systems and controls (5 Mar 2018 to 8 Dec 2019)
- CF1 Director (26 Jan 2012 to 11 Sep 2017)
- CF10 Compliance Oversight (26 Jan 2012 to 1 Apr 2016)
BNY Mellon Fund Managers Limited (no longer approved here)
FRN 122007
- CF10 Compliance Oversight (10 Jun 2010 to 1 Jan 2012)

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.