James Sym

Watch for changes

Where they hold approval

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

Goodhart Partners LLP
FRN 496588
- [FCA CF] Significant management (since 7 Aug 2025)
- [FCA CF] Client dealing (since 6 Jan 2025)
RGI FUND MANAGEMENT LIMITED (no longer approved here)
FRN 146873
- [FCA CF] Client dealing (15 Mar 2024 to 17 May 2024)
River Global Investors LLP (no longer approved here)
FRN 453087
- SMF27 Partner (10 Nov 2022 to 31 Dec 2024)
- [FCA CF] Manager of certification employee (15 Sep 2022 to 31 Dec 2024)
- [FCA CF] Material risk taker (15 Sep 2020 to 31 Dec 2024)
- [FCA CF] Significant management (15 Sep 2020 to 31 Dec 2024)
- [FCA CF] Client dealing (15 Sep 2020 to 31 Dec 2024)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF30 Customer (16 Jan 2014 to 8 Dec 2019)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF30 Customer (16 Jan 2014 to 8 Dec 2019)

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.