Samantha Jane James

Watch for changes

Where they hold approval

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

M&G Investment Management Limited
FRN 119328
- [FCA CF] Client dealing (since 13 Jul 2020)
- CF30 Customer (29 May 2018 to 8 Dec 2019)
M&G Alternatives Investment Management Limited
FRN 122011
- [FCA CF] Client dealing (since 13 Jul 2020)
- CF30 Customer (29 May 2018 to 8 Dec 2019)
Polus Capital Management Limited (no longer approved here)
FRN 400045
- CF30 Customer (12 Aug 2008 to 18 Jul 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (1 Nov 2007 to 9 Nov 2007)
- CF21 Investment Adviser (20 Jan 2006 to 31 Oct 2007)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (22 Sep 2005 to 7 Feb 2006)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (22 Sep 2005 to 7 Feb 2006)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (28 Apr 2005 to 22 Sep 2005)

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.