James Nicholas Bateman

Watch for changes

Where they hold approval

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

FIL Investment Services (UK) Limited (no longer approved here)
FRN 121939
- CF29 Significant management (25 Apr 2013 to 23 Oct 2017)
- CF30 Customer (9 Jan 2012 to 23 Oct 2017)
FIL Investments International (no longer approved here)
FRN 122170
- CF29 Significant management (25 Apr 2013 to 28 Jun 2019)
- CF30 Customer (9 Jan 2012 to 28 Jun 2019)
FIL Pensions Management (no longer approved here)
FRN 144345
- CF29 Significant management (25 Apr 2013 to 28 Jun 2019)
- CF30 Customer (9 Jan 2012 to 15 Mar 2019)
FIL Investment Advisors (UK) Limited (no longer approved here)
FRN 159360
- CF29 Significant management (25 Apr 2013 to 28 Jun 2019)
- CF30 Customer (9 Jan 2012 to 28 Jun 2019)
Northern Trust Global Investments Limited (no longer approved here)
FRN 191916
- CF30 Customer (1 Jan 2009 to 25 Mar 2009)

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.