Karen James

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Where they hold approval

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

HHPG Limited (no longer approved here)
FRN 191436
- CF22 Investment Adviser (Trainee) (12 May 2005 to 4 Jul 2006)
St Davids Independent Limited (no longer approved here)
FRN 223548
- (1)Employed By (7 May 2003 to 8 May 2003)
The Whitechurch Network Limited (no longer approved here)
FRN 190859
- CF22 Investment Adviser (Trainee) (27 Jun 2002 to 8 May 2003)
PRISM Independent Financial Advisers Limited (no longer approved here)
FRN 200449
- (4)Employed By (27 Jun 2002 to 8 May 2003)

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.