James Robert King

Watch for changes

Where they hold approval

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

Mobius Life Limited
FRN 189098
- SMF24 Chief Operations (since 20 Sep 2024)
Carne International Financial Services (UK) Limited (no longer approved here)
FRN 823316
- SMF3 Executive Director (12 Aug 2021 to 22 Nov 2023)
- [FCA CF] Material risk taker (28 May 2021 to 12 Aug 2021)
- [FCA CF] Significant management (13 Jan 2020 to 12 Aug 2021)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Nov 2007 to 12 Dec 2008)
- CF21 Investment Adviser (24 Apr 2007 to 31 Oct 2007)

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.