James William Soane

Watch for changes

Where they hold approval

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

Theleme Partners LLP (no longer approved here)
FRN 504902
- [FCA CF] Client dealing (4 Feb 2020 to 3 Feb 2025)
- [FCA CF] Material risk taker (4 Feb 2020 to 3 Feb 2025)
- CF30 Customer (21 Aug 2017 to 8 Dec 2019)
Elliott Advisors (UK) Limited (no longer approved here)
FRN 401411
- CF30 Customer (23 Sep 2014 to 10 Aug 2017)
D. E. Shaw & Co. (London) LLP (no longer approved here)
FRN 590179
- CF30 Customer (8 Apr 2013 to 17 Mar 2014)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (19 Sep 2011 to 30 Dec 2011)

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.