Cara Ann Whatford

Last updated
1 week ago
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Where they hold approval

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

  • Family Equity Plan Limited

    FRN 122351

    • SMF3 Executive Director (since 5 Dec 2023)
    • [FCA CF] Client dealing (1 Aug 2021 to 5 Dec 2023)
    • [PRA CF] Significant risk taker or Material risk taker (1 Aug 2021 to 2 Aug 2021)
    • [FCA CF] CASS oversight function (1 Aug 2021 to 5 Dec 2023)
    • [FCA CF] Manager of certification employee (1 Aug 2021 to 5 Dec 2023)
    • [FCA CF] Material risk taker (26 Feb 2021 to 5 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 5 Dec 2023)
  • Family Assurance Friendly Society Limited

    FRN 110067

    • [FCA CF] Manager of certification employee (since 1 Aug 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Aug 2021)
    • [FCA CF] Material risk taker (since 26 Feb 2021)
    • [FCA CF] Significant management (since 10 Dec 2018)
  • Family Investment Management Limited

    FRN 122394

    • [FCA CF] CASS oversight function (since 1 Aug 2021)
    • [FCA CF] Client dealing (since 1 Aug 2021)
    • [FCA CF] Manager of certification employee (since 1 Aug 2021)
    • [FCA CF] Material risk taker (since 1 Aug 2021)
    • [FCA CF] Significant management (since 9 Dec 2019)
  • OneFamily Advice Limited

    FRN 783577

    • [FCA CF] Significant management (since 9 Dec 2019)
  • Engage Mutual Funds Limited (no longer approved here)

    FRN 181487

    • (197)SMF3 Executive Director (5 Dec 2023 to 6 May 2026)
    • (202)[FCA CF] CASS oversight function (1 Aug 2021 to 17 Jan 2025)
    • (198)[FCA CF] Client dealing (1 Aug 2021 to 17 Jan 2025)
    • (200)[FCA CF] Manager of certification employee (1 Aug 2021 to 17 Jan 2025)
    • (199)[FCA CF] Material risk taker (26 Feb 2021 to 17 Jan 2025)
    • (201)[FCA CF] Significant management (9 Dec 2019 to 17 Jan 2025)
  • Xitus Insurance Limited (no longer approved here)

    FRN 202792

    • CF28 Systems and controls (1 Nov 2007 to 25 Sep 2014)
    • CF13 Finance (1 Dec 2005 to 31 Oct 2007)

Recent activity

Updates to this individual's record on the FCA register.

  1. controlled function removed: SMF3 Executive Director at Engage Mutual Funds Limited

  2. controlled function added: (197)SMF3 Executive Director at Engage Mutual Funds Limited

  3. controlled function added: (198)[FCA CF] Client dealing at Engage Mutual Funds Limited

  4. controlled function added: (199)[FCA CF] Material risk taker at Engage Mutual Funds Limited

  5. controlled function added: (200)[FCA CF] Manager of certification employee at Engage Mutual Funds Limited

  6. controlled function added: (201)[FCA CF] Significant management at Engage Mutual Funds Limited

  7. controlled function added: (202)[FCA CF] CASS oversight function at Engage Mutual Funds Limited