James Richard Groom

Watch for changes

Where they hold approval

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

Woodford Finance Ltd
FRN 964600
- Responsibility for MCD Intermediation (since 1 Aug 2022)
- Responsible for Insurance Distribution (since 1 Aug 2022)
- SMF16 Compliance Oversight (since 1 Aug 2022)
- SMF3 Executive Director (since 1 Aug 2022)
Mortgageasy Limited (no longer approved here)
FRN 755093
- (1)Employed By (17 Aug 2016 to 29 Jun 2022)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (25 Oct 2010 to 14 Sep 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.