James Scott Phalen

Watch for changes

Where they hold approval

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

State Street Global Advisors Limited (no longer approved here)
FRN 146665
- CF29 Significant management (7 Jan 2010 to 1 Apr 2010)
STATE STREET UNIT TRUST MANAGEMENT LIMITED (no longer approved here)
FRN 154639
- CF29 Significant management (7 Jan 2010 to 1 Apr 2010)
State Street Bank and Trust Company (no longer approved here)
FRN 170462
- CF29 Significant management (7 Jan 2010 to 1 Apr 2010)
State Street Trustees Limited (no longer approved here)
FRN 186237
- CF29 Significant management (7 Jan 2010 to 1 Apr 2010)
State Street Global Markets International Limited (no longer approved here)
FRN 194525
- CF29 Significant management (7 Jan 2010 to 1 Apr 2010)
MANAGED PENSION FUNDS LIMITED (no longer approved here)
FRN 221340
- CF29 Significant management (7 Jan 2010 to 1 Apr 2010)
Cofunds Limited (no longer approved here)
FRN 194734
- CF2 Non Executive Director (2 Nov 2009 to 26 Jan 2012)
SS&C Financial Services Europe Limited (no longer approved here)
FRN 161227
- CF2 Non Executive Director (19 Aug 2009 to 12 Jul 2010)
Fundrock Partners Limited (no longer approved here)
FRN 469278
- CF2 Non Executive Director (19 Aug 2009 to 12 Jul 2010)

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.