Karen Frank

Watch for changes

Where they hold approval

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

Mizuho International plc
FRN 119256
- [FCA CF] Material risk taker (since 1 Apr 2024)
Clydesdale Financial Services Limited (no longer approved here)
FRN 311753
- SMF9 Chair of the Governing Body (9 Apr 2020 to 1 Jun 2020)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Manager of certification employee (15 Dec 2017 to 28 Jun 2019)
- [FCA CF] Client dealing (7 Sep 2016 to 28 Jun 2019)
- CF30 Customer (3 Feb 2012 to 6 Mar 2016)
Crossbridge Capital LLP (no longer approved here)
FRN 480069
- CF30 Customer (22 Feb 2010 to 27 Dec 2010)

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.