KATHARINE XU

Watch for changes

Where they hold approval

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

Intesa Sanpaolo SpA
FRN 191858
- [FCA CF] Client dealing (since 5 Jan 2024)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (483)[FCA CF] Client dealing (2 Mar 2020 to 6 Nov 2023)
Tabula Investment Management Limited (no longer approved here)
FRN 837444
- CF30 Customer (1 Nov 2019 to 8 Dec 2019)
Cheyne Capital Management (UK) LLP (no longer approved here)
FRN 456864
- CF30 Customer (10 May 2019 to 1 Nov 2019)

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

1 day ago
controlled function added: (483)[FCA CF] Client dealing at Novate Global Markets Limited

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.