Simon David James

Watch for changes

Where they hold approval

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

Orchard Global Asset Management LLP
FRN 494250
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF11 Money Laundering Reporting (30 Nov 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (30 Nov 2017 to 8 Dec 2019)
USS Investment Management Limited (no longer approved here)
FRN 564285
- CF11 Money Laundering Reporting (10 Sep 2013 to 20 Mar 2017)
- CF10 Compliance Oversight (21 Aug 2013 to 20 Mar 2017)
Cheyne Capital Management (UK) LLP (no longer approved here)
FRN 456864
- CF4 Partner (19 Jul 2007 to 3 Jun 2010)
- CF11 Money Laundering Reporting (2 Jan 2007 to 3 Jun 2010)
- CF10 Compliance Oversight (2 Jan 2007 to 3 Jun 2010)

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.