Ross David James

Watch for changes

Where they hold approval

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

State Street Global Advisors Limited
FRN 146665
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (24 Jan 2023 to 29 Jan 2025)
- CF30 Customer (19 Mar 2015 to 8 Dec 2019)
BlackRock Institutional Trust Company, N.A. (no longer approved here)
FRN 409343
- CF30 Customer (22 Mar 2012 to 3 Apr 2013)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF30 Customer (1 Dec 2009 to 3 Apr 2013)
BlackRock International Limited (no longer approved here)
FRN 178638
- CF30 Customer (1 Dec 2009 to 3 Apr 2013)
BlackRock Advisors (UK) Limited (no longer approved here)
FRN 119186
- CF30 Customer (1 Nov 2007 to 3 Apr 2013)
- CF27 Investment Management (29 Nov 2006 to 31 Oct 2007)

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.