James Wyatt

Watch for changes

Where they hold approval

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

The Northern Trust Company
FRN 122020
- [FCA CF] Manager of certification employee (since 5 Sep 2019)
- [FCA CF] Client dealing (since 20 Aug 2018)
Northern Trust Global Services SE
FRN 829966
- [FCA CF] Manager of certification employee (since 5 Sep 2019)
- [FCA CF] Client dealing (since 1 Mar 2019)
Bank of Montreal (no longer approved here)
FRN 124788
- CF30 Customer (7 Oct 2013 to 6 Mar 2016)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (2 May 2013 to 20 Sep 2013)
Columbia Threadneedle Management Limited (no longer approved here)
FRN 119230
- CF30 Customer (25 Feb 2010 to 21 Dec 2012)
Columbia Threadneedle Fund Management Limited (no longer approved here)
FRN 121940
- CF30 Customer (25 Feb 2010 to 5 Mar 2012)
Columbia Threadneedle Investment Business Limited (no longer approved here)
FRN 177896
- CF30 Customer (25 Feb 2010 to 21 Dec 2012)

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.