Alice Harper

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • N. M. ROTHSCHILD & SONS LIMITED

    FRN 124451

    • SMF16 Compliance Oversight (since 11 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Dec 2025)
  • ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED

    FRN 607483

    • SMF3 Executive Director (since 3 Nov 2023)
    • SMF16 Compliance Oversight (since 13 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Jul 2021)
    • [FCA CF] Material risk taker (27 Sep 2021 to 11 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2020)
    • CF11 Money Laundering Reporting (1 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2018 to 8 Dec 2019)
  • Rothschild & Co Equity Markets Solutions Limited (no longer approved here)

    FRN 950811

    • (97)SMF17 Money Laundering Reporting Officer (MLRO) (11 Dec 2025 to 24 Apr 2026)
    • (98)SMF16 Compliance Oversight (11 Dec 2025 to 24 Apr 2026)
  • Mariana UFP LLP (no longer approved here)

    FRN 551170

    • CF30 Customer (13 Feb 2012 to 31 Oct 2014)

Recent activity

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

  1. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Rothschild & Co Equity Markets Solutions Limited

  2. controlled function removed: SMF16 Compliance Oversight at Rothschild & Co Equity Markets Solutions Limited

  3. controlled function added: (97)SMF17 Money Laundering Reporting Officer (MLRO) at Rothschild & Co Equity Markets Solutions Limited

  4. controlled function added: (98)SMF16 Compliance Oversight at Rothschild & Co Equity Markets Solutions Limited