James Wall

Watch for changes

Where they hold approval

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

Schroder Investment Management Limited
FRN 119348
- [FCA CF] Client dealing (since 19 Mar 2024)
Schroders IS Limited
FRN 195028
- [FCA CF] Client dealing (since 9 Sep 2020)
- CF30 Customer (27 Nov 2015 to 28 Jun 2016)
River Global Investors LLP (no longer approved here)
FRN 453087
- [FCA CF] Client dealing (15 Sep 2020 to 31 Jan 2022)
KPMG LLP (no longer approved here)
FRN 210513
- CF30 Customer (7 Dec 2016 to 18 Dec 2018)

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.