Katherine Mills

Watch for changes

Where they hold approval

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

Intesa Sanpaolo SpA
FRN 191858
- SMF16 Compliance Oversight (since 8 Sep 2023)
BTIG Limited (no longer approved here)
FRN 484589
- SMF16 Compliance Oversight (9 Dec 2019 to 16 Jun 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Jun 2023)
- CF11 Money Laundering Reporting (17 Oct 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (11 Nov 2014 to 8 Dec 2019)
CMC Markets UK plc (no longer approved here)
FRN 173730
- CF21 Investment Adviser (26 Mar 2003 to 30 Sep 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.