Kim James

Watch for changes

Where they hold approval

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

Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- SMF4 Chief Risk (5 Oct 2021 to 4 Aug 2023)
- [FCA CF] Material risk taker (12 Apr 2021 to 22 Jul 2021)
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 119272
- [FCA CF] Material risk taker (12 Apr 2021 to 22 Jul 2021)
Legal and General Assurance (Pensions Management) Limited (no longer approved here)
FRN 202202
- [PRA CF] Significant risk taker or Material risk taker (12 Apr 2021 to 22 Jul 2021)
Legal & General Property Limited (no longer approved here)
FRN 313282
- [FCA CF] Significant management (12 Apr 2021 to 26 Oct 2022)
LGIM Real Assets (Operator) Limited (no longer approved here)
FRN 447041
- [FCA CF] Material risk taker (12 Apr 2021 to 22 Jul 2021)

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.