Anne-Maria Wilfling-Rothenstein

Watch for changes

Where they hold approval

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

B2C2 OTC Ltd (no longer approved here)
FRN 810834
- SMF16 Compliance Oversight (30 Nov 2021 to 30 Jun 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (30 Nov 2021 to 30 Jun 2022)
Northern Trust Securities LLP (no longer approved here)
FRN 465131
- CF10 Compliance Oversight (8 May 2017 to 14 Jan 2019)

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.