Richard Simon James

Last updated
3 weeks ago
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Where they hold approval

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

  • Royal London Asset Management Limited (no longer approved here)

    FRN 141665

    • CF10a CASS Oversight function (10 Mar 2014 to 23 May 2017)
    • CF1 Director (21 Feb 2002 to 31 Dec 2017)
    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 2 Feb 2004)
    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 2 Feb 2004)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF1 Director (31 Jul 2013 to 14 Feb 2014)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF10a CASS Oversight function (1 Oct 2011 to 28 Nov 2016)
    • CF1 Director (21 Feb 2002 to 31 Dec 2017)
    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 2 Feb 2004)
    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 2 Feb 2004)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF10a CASS Oversight function (1 Oct 2011 to 14 Feb 2017)
    • CF1 Director (2 Dec 2003 to 31 Dec 2017)
  • Investment Funds Direct Limited (no longer approved here)

    FRN 114432

    • CF1 Director (25 Feb 2008 to 6 Jan 2011)

Recent activity

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

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