Catriona Margaret Herd

Last updated
3 weeks ago
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Where they hold approval

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

  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • [PRA CF] Significant risk taker or Material risk taker (19 Feb 2021 to 12 Apr 2023)
    • [FCA CF] Material risk taker (19 Feb 2021 to 12 Apr 2023)
    • CF11 Money Laundering Reporting (1 Nov 2013 to 13 Sep 2016)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • SMF3 Executive Director (9 Dec 2019 to 26 Jan 2023)
    • CF1 Director (6 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2013 to 13 Sep 2016)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • SMF3 Executive Director (9 Dec 2019 to 26 Jan 2023)
    • CF1 Director (6 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jul 2005 to 11 May 2009)
    • CF10 Compliance Oversight (22 Jul 2005 to 11 May 2009)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF1 Director (6 Jun 2017 to 29 Aug 2019)
    • CF11 Money Laundering Reporting (1 Nov 2013 to 13 Sep 2016)
    • CF10 Compliance Oversight (22 Jul 2005 to 11 May 2009)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF10 Compliance Oversight (1 Oct 2005 to 16 May 2007)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF10 Compliance Oversight (1 Oct 2005 to 16 May 2007)

Recent activity

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

No changes recorded yet.