Katherine Louise Fulker

Last updated
2 weeks ago
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Where they hold approval

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

  • Wellington Management International Limited (no longer approved here)

    FRN 208573

    • SMF17 Money Laundering Reporting Officer (MLRO) (12 Feb 2024 to 30 Sep 2024)
  • VANGUARD INVESTMENTS UK, LIMITED (no longer approved here)

    FRN 494699

    • [FCA CF] Material risk taker (3 Mar 2021 to 15 Sep 2021)
    • [FCA CF] Significant management (3 Mar 2021 to 15 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jun 2016 to 8 Dec 2019)
  • VANGUARD ASSET MANAGEMENT, LTD. (no longer approved here)

    FRN 527839

    • [FCA CF] Significant management (3 Mar 2021 to 15 Sep 2021)
    • [FCA CF] Material risk taker (3 Mar 2021 to 15 Sep 2021)
    • CF11 Money Laundering Reporting (19 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jun 2016 to 8 Dec 2019)
  • FIL Investment Services (UK) Limited (no longer approved here)

    FRN 121939

    • CF11 Money Laundering Reporting (7 Jan 2011 to 1 Mar 2013)
  • FIL Investments International (no longer approved here)

    FRN 122170

    • CF11 Money Laundering Reporting (7 Jan 2011 to 1 Mar 2013)
  • FIL Pensions Management (no longer approved here)

    FRN 144345

    • CF11 Money Laundering Reporting (7 Jan 2011 to 1 Mar 2013)
  • FIL Investment Advisors (UK) Limited (no longer approved here)

    FRN 159360

    • CF11 Money Laundering Reporting (7 Jan 2011 to 1 Mar 2013)
  • FIL Life Insurance Limited (no longer approved here)

    FRN 186526

    • CF11 Money Laundering Reporting (7 Jan 2011 to 1 Mar 2013)
  • Financial Administration Services Limited (no longer approved here)

    FRN 122169

    • CF11 Money Laundering Reporting (19 Mar 2004 to 6 Sep 2004)

Recent activity

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

No changes recorded yet.