Carolyn O'Brien

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Where they hold approval

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

Forvis Mazars Financial Planning Limited (no longer approved here)
FRN 182644
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Sep 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Sep 2021)
- SMF3 Executive Director (9 Dec 2019 to 1 Sep 2021)
- CF10 Compliance Oversight (13 Mar 2012 to 8 Dec 2019)
- CF11 Money Laundering Reporting (13 Mar 2012 to 8 Dec 2019)
- CF1 Director (13 Mar 2012 to 8 Dec 2019)
Forvis Mazars Corporate Finance Limited (no longer approved here)
FRN 197186
- SMF16 Compliance Oversight (9 Dec 2019 to 31 Aug 2021)
- CF10 Compliance Oversight (3 Nov 2017 to 8 Dec 2019)

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.