Caroline Gillian Mills

Last updated
2 weeks ago
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Where they hold approval

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

  • Farley & Thompson LLP

    FRN 461601

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Material risk taker (since 9 Mar 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Mar 2022)
    • [FCA CF] Client dealing (since 9 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Dec 2020)
    • SMF16 Compliance Oversight (since 7 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (13 Aug 2015 to 8 Dec 2019)
    • CF30 Customer (8 May 2012 to 8 Dec 2019)
  • Thesis Asset Management Limited (no longer approved here)

    FRN 114354

    • CF30 Customer (1 Nov 2007 to 27 Apr 2012)
    • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
    • CF27 Investment Management (1 Oct 2007 to 31 Oct 2007)
    • CF26 Customer Trading (1 Oct 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.