Anna Louise Nicholl

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Where they hold approval

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

Walter Scott & Partners Limited
FRN 122429
- SMF4 Chief Risk (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF28 Systems and controls (19 Apr 2010 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Sep 2009 to 8 Dec 2019)
BNY Mellon Investment Management EMEA Limited (no longer approved here)
FRN 119196
- CF14 Risk Assessment (3 Nov 2003 to 31 Jan 2006)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- CF14 Risk Assessment (3 Nov 2003 to 31 Jan 2006)
BNY Mellon Fund Managers Limited (no longer approved here)
FRN 122007
- CF14 Risk Assessment (3 Nov 2003 to 31 Jan 2006)

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.