Carol Frances Sergeant

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.

  • Vida Bank Limited

    FRN 738741

    • SMF14 Senior Independent Director (since 19 Nov 2024)
    • SMF10 Chair of the Risk Committee (since 19 Nov 2024)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 19 Nov 2024)
  • TP ICAP E&C Limited (no longer approved here)

    FRN 146880

    • CF2 Non Executive Director (30 Jun 2015 to 31 Dec 2018)
  • TP ICAP Broking Limited (no longer approved here)

    FRN 154234

    • CF2 Non Executive Director (30 Jun 2015 to 31 Dec 2018)
  • CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 119289

    • CF2 Non Executive Director (16 May 2012 to 1 Oct 2014)
  • SECURE TRUST BANK PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 204550

    • CF2 Non Executive Director (30 Aug 2011 to 31 Dec 2015)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF28 Systems and controls (16 Jan 2009 to 24 Jan 2011)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF28 Systems and controls (1 Nov 2007 to 24 Jan 2011)
    • CF14 Risk Assessment (23 Feb 2004 to 31 Oct 2007)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF28 Systems and controls (1 Nov 2007 to 20 Mar 2009)
    • CF14 Risk Assessment (23 Feb 2004 to 31 Oct 2007)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF28 Systems and controls (1 Nov 2007 to 20 Mar 2009)
    • CF14 Risk Assessment (23 Feb 2004 to 31 Oct 2007)
  • LDC (Managers) Limited (no longer approved here)

    FRN 147964

    • CF28 Systems and controls (1 Nov 2007 to 20 Mar 2009)
    • CF14 Risk Assessment (23 Feb 2004 to 31 Oct 2007)
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Updates to this individual's record on the FCA register.

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