Caroline Denise McCarthy

Watch for changes

Where they hold approval

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

Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- CF30 Customer (7 Aug 2015 to 4 Mar 2016)
Santander UK Plc (no longer approved here)
FRN 106054
- CF30 Customer (22 Jul 2014 to 16 Mar 2015)
Acumen Financial Partnership Limited (no longer approved here)
FRN 450163
- CF30 Customer (1 Dec 2012 to 18 Jun 2014)
Phoenix Wealth Services Limited (no longer approved here)
FRN 465753
- CF30 Customer (3 Sep 2010 to 16 Nov 2012)
Aviva Administration Limited (no longer approved here)
FRN 185746
- CF30 Customer (1 Nov 2007 to 16 Sep 2010)
- CF21 Investment Adviser (15 Jun 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (17 Jan 2005 to 15 Jun 2005)

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.