Katherine Carlson

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Where they hold approval

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

Rock Insurance Services Limited
FRN 300317
- CF1 Director (AR) (since 6 Oct 2025)
MARKS AND SPENCER P.L.C.
FRN 718711
- SMF29 Limited scope function (limited scope SMCR firms only) (since 15 May 2024)
Sainsbury's Bank Plc (no longer approved here)
FRN 184514
- (319)SMF7 Group Entity Senior Manager (24 Feb 2020 to 29 Jun 2020)
- (318)SMF18 Other Overall Responsibility (15 Dec 2017 to 22 Oct 2018)

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.