Carole Collier

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • Northern Trust Securities LLP

    FRN 465131

    • [FCA CF] Manager of certification employee (since 19 Mar 2026)
    • [FCA CF] Significant management (18 Oct 2024 to 24 Oct 2024)
  • Northern Trust Investor Services Limited

    FRN 927658

    • [FCA CF] Manager of certification employee (since 19 Mar 2026)
    • [FCA CF] Significant management (18 Oct 2024 to 22 Dec 2025)
    • [FCA CF] Manager of certification employee (18 Oct 2024 to 29 Jan 2026)
  • Northern Trust Global Services SE

    FRN 829966

    • SMF16 Compliance Oversight (since 22 Dec 2025)
    • [FCA CF] Manager of certification employee (1 Mar 2025 to 22 Dec 2025)
    • [FCA CF] Significant management (18 Oct 2024 to 22 Dec 2025)
  • The Northern Trust Company

    FRN 122020

    • [FCA CF] Manager of certification employee (since 1 Mar 2025)
    • [FCA CF] Significant management (since 18 Oct 2024)
  • Link Fund Solutions Limited (no longer approved here)

    FRN 119197

    • CF8 Apportionment and Oversight (1 Dec 2001 to 18 Mar 2005)
    • CF10 Compliance Oversight (1 Dec 2001 to 18 Mar 2005)
    • CF1 Director (1 Dec 2001 to 18 Mar 2005)
  • WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED (no longer approved here)

    FRN 121795

    • (91)CF10 Compliance Oversight (1 Dec 2001 to 18 Mar 2005)
    • (93)CF1 Director (1 Dec 2001 to 18 Mar 2005)
    • (92)CF8 Apportionment and Oversight (1 Dec 2001 to 18 Mar 2005)

Recent activity

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

  1. controlled function added: (91)CF10 Compliance Oversight at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED

  2. controlled function added: (92)CF8 Apportionment and Oversight at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED

  3. controlled function added: (93)CF1 Director at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED