Helen Carolyn Lucking

Watch for changes

Where they hold approval

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

Capital Com (UK) Limited (no longer approved here)
FRN 793714
- [FCA CF] CASS oversight function (20 Sep 2023 to 27 Mar 2024)
- SMF16 Compliance Oversight (17 Oct 2022 to 2 Sep 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (17 Oct 2022 to 2 Sep 2024)
- [FCA CF] Material risk taker (17 Oct 2022 to 1 Sep 2024)
Gain Capital UK Limited (no longer approved here)
FRN 113942
- CF29 Significant management (1 Nov 2007 to 3 Nov 2009)
- CF20 Significant Mgt (Settlements) (30 Jul 2007 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.