Caitlin Anne Sperling

Watch for changes

Where they hold approval

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

Royal London Mutual Insurance Society, Limited (THE)
FRN 117672
- [FCA CF] Significant management (since 3 Nov 2025)
Royal London Savings Limited
FRN 191237
- [FCA CF] Significant management (since 3 Nov 2025)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- [FCA CF] Client dealing (31 Dec 2020 to 25 Jan 2023)
- CF30 Customer (13 Apr 2019 to 8 Dec 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- [FCA CF] Client dealing (12 Dec 2017 to 3 Jan 2019)
Deutsche Bank AG (no longer approved here)
FRN 150018
- [FCA CF] Client dealing (7 Mar 2016 to 22 Aug 2017)
- CF30 Customer (27 Oct 2015 to 6 Mar 2016)

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.