Joanne Sutton

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Where they hold approval

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

Empire Finance Limited
FRN 734215
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (21 Jun 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (21 Jun 2016 to 8 Dec 2019)
Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- CF1 Director (AR) (26 Feb 2014 to 1 Jun 2015)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF22 Investment Adviser (Trainee) (30 Apr 2003 to 5 Jun 2003)

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.