Catherine Alexandra Mary Court

Watch for changes

Where they hold approval

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

Guggenheim Investment Advisors (Europe) Limited (no longer approved here)
FRN 499798
- CF10 Compliance Oversight (9 Aug 2011 to 5 Jan 2015)
- CF11 Money Laundering Reporting (9 Aug 2011 to 5 Jan 2015)
- CF1 Director (22 Feb 2011 to 4 Jun 2018)
- CF30 Customer (22 Feb 2011 to 4 Jun 2018)
Gladstone Capital Management LLP (no longer approved here)
FRN 434216
- CF4 Partner (3 Mar 2008 to 12 May 2009)
- CF30 Customer (3 Mar 2008 to 12 May 2009)
Union Bancaire Privee, UBP SA (no longer approved here)
FRN 147562
- CF21 Investment Adviser (9 Feb 2004 to 11 Jun 2004)

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.