Caroline Rose

Watch for changes

Where they hold approval

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

Barclays Capital Securities Limited
FRN 124431
- [FCA CF] Client dealing (since 13 Feb 2025)
- [FCA CF] Manager of certification employee (11 Jan 2017 to 3 Apr 2019)
- [FCA CF] Client dealing (7 Sep 2016 to 3 Apr 2019)
Man Solutions Limited (no longer approved here)
FRN 185637
- CF30 Customer (16 Nov 2009 to 3 Jul 2012)
Man Fund Management UK Limited (no longer approved here)
FRN 185916
- CF30 Customer (16 Nov 2009 to 3 Jul 2012)
GLG Partners LP (no longer approved here)
FRN 186093
- CF30 Customer (16 Nov 2009 to 3 Jul 2012)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (1 Nov 2007 to 14 Aug 2009)
- CF21 Investment Adviser (18 Sep 2003 to 31 Oct 2007)

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.