Karen Mary Clegg

Watch for changes

Where they hold approval

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

Sandringham Financial Partners Limited (no longer approved here)
FRN 581304
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2024)
- CF30 Customer (3 Jul 2019 to 8 Dec 2019)
AFH Independent Financial Services Limited (no longer approved here)
FRN 216704
- CF30 Customer (31 Jan 2019 to 1 Jul 2019)
Oakworth Financial Planning Limited (no longer approved here)
FRN 229355
- CF30 Customer (1 Nov 2007 to 31 Jul 2016)
- CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
Oakworth Consultancy Services Limited 1983 (no longer approved here)
FRN 173360
- (6)Employed By (1 May 2001 to 6 Jan 2004)

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.