Jean-Paul Lim

Watch for changes

Where they hold approval

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

CCLA INVESTMENT MANAGEMENT LIMITED
FRN 119281
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2020)
- SMF16 Compliance Oversight (since 5 May 2020)
CCLA Fund Managers Limited
FRN 611707
- SMF16 Compliance Oversight (since 5 May 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2020)
Link Fund Solutions Limited (no longer approved here)
FRN 119197
- SMF16 Compliance Oversight (9 Dec 2019 to 27 Apr 2020)
- CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED (no longer approved here)
FRN 121795
- (128)SMF16 Compliance Oversight (9 Dec 2019 to 27 Apr 2020)
- (129)CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
Waystone Financial Investments Limited (no longer approved here)
FRN 169586
- SMF16 Compliance Oversight (9 Dec 2019 to 27 Apr 2020)
- CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
Morgan Stanley Investment Management Limited (no longer approved here)
FRN 121920
- CF10 Compliance Oversight (15 Dec 2014 to 10 Jul 2015)
Morgan Stanley Investment Management (ACD) Limited (no longer approved here)
FRN 230885
- CF10 Compliance Oversight (15 Dec 2014 to 10 Jul 2015)
BNY Mellon Investment Management EMEA Limited (no longer approved here)
FRN 119196
- CF10 Compliance Oversight (29 Oct 2003 to 10 Jun 2010)
BNY Mellon Fund Managers Limited (no longer approved here)
FRN 122007
- CF10 Compliance Oversight (29 Oct 2003 to 10 Jun 2010)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (128)SMF16 Compliance Oversight at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED
1 day ago
controlled function added: (129)CF10 Compliance Oversight at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED

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.