Anna Maria Heritier De La Roche

Watch for changes

Where they hold approval

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

ABSA SECURITIES UNITED KINGDOM LIMITED
FRN 808323
- SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jul 2022)
- SMF16 Compliance Oversight (since 29 Jul 2022)
Liquidnet Europe Limited (no longer approved here)
FRN 198039
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Jan 2022)
- [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2022)
- SMF16 Compliance Oversight (9 Dec 2019 to 8 Dec 2021)
- CF11 Money Laundering Reporting (10 Feb 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (17 Aug 2012 to 8 Dec 2019)
Cavendish Securities PLC (no longer approved here)
FRN 416932
- CF10 Compliance Oversight (26 Jun 2007 to 31 Jan 2012)
- CF11 Money Laundering Reporting (26 Jun 2007 to 31 Jan 2012)

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.