Helen Catherine Lupton

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • TRUE BEARING LIMITED

    FRN 486512

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 13 Dec 2022)
    • [FCA CF] Client dealing (since 13 Dec 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 2 Jan 2024)
    • Responsible for Insurance Mediation (30 Jun 2015 to 30 Sep 2018)
    • CF1 Director (5 Jun 2013 to 8 Dec 2019)
    • CF1 Director (AR) (3 Aug 2012 to 14 May 2024)
    • CF11 Money Laundering Reporting (23 Nov 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Nov 2011 to 8 Dec 2019)
  • Amber River Investment Solutions LLP (no longer approved here)

    FRN 717959

    • [FCA CF] Manager of certification employee (24 Mar 2021 to 6 Jun 2022)
    • [FCA CF] Functions requiring qualifications (24 Mar 2021 to 6 Jun 2022)
    • [FCA CF] Client dealing (24 Mar 2021 to 6 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 May 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 16 May 2022)
    • SMF27 Partner (9 Dec 2019 to 16 May 2022)
    • CF30 Customer (15 Jul 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2016 to 8 Dec 2019)
    • CF4 Partner (15 Jul 2016 to 8 Dec 2019)
  • Bread and Butter Advice Limited (no longer approved here)

    FRN 585311

    • Employed By (3 Aug 2012 to 14 May 2024)

Recent activity

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

No changes recorded yet.