Alison Margaret Clare

Watch for changes

Where they hold approval

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

Northern Trust Investor Services Limited (no longer approved here)
FRN 927658
- SMF16 Compliance Oversight (19 May 2021 to 28 May 2021)
Northern Trust Global Services SE (no longer approved here)
FRN 829966
- [FCA CF] Material risk taker (25 Mar 2021 to 28 May 2021)
- [FCA CF] Significant management (25 Mar 2021 to 28 May 2021)
Northern Trust Securities LLP (no longer approved here)
FRN 465131
- CF10 Compliance Oversight (31 Jan 2019 to 22 Aug 2019)
The Northern Trust Company (no longer approved here)
FRN 122020
- SMF16 Compliance Oversight (12 May 2017 to 28 May 2021)

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.