Joanne Louise Francis

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Where they hold approval

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

UWC Endowment Management Limited
FRN 984693
- [FCA CF] Client dealing (since 6 Sep 2023)
- SMF16 Compliance Oversight (since 19 Jul 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Jul 2023)
Privium Fund Management (UK) Limited (no longer approved here)
FRN 471186
- CF30 Customer (8 Jan 2018 to 31 Dec 2021)
Augusta & Co Limited (no longer approved here)
FRN 211883
- CF30 Customer (20 Jan 2017 to 31 Oct 2017)
LK Advisers Limited (no longer approved here)
FRN 510494
- CF30 Customer (31 Jul 2014 to 13 Jan 2017)
- CF11 Money Laundering Reporting (31 Jul 2014 to 13 Jan 2017)
- CF10 Compliance Oversight (31 Jul 2014 to 13 Jan 2017)

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.