James William Southern

Watch for changes

Where they hold approval

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

Aviva Investors Global Services Limited
FRN 119178
- [FCA CF] Client dealing (since 15 Dec 2025)
UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- [FCA CF] Client dealing (22 Oct 2020 to 8 Oct 2025)
Mirabaud Asset Management Limited (no longer approved here)
FRN 122140
- CF30 Customer (18 Sep 2015 to 31 Mar 2018)
Sanlam Investments UK Limited (no longer approved here)
FRN 459237
- CF30 Customer (19 Sep 2011 to 8 Sep 2015)

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.