Katherine Moretti

Watch for changes

Where they hold approval

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

Baring International Investment Limited
FRN 122628
- [FCA CF] Client dealing (since 7 Jun 2021)
- [FCA CF] Manager of certification employee (3 Aug 2023 to 26 Aug 2025)
Baring Asset Management Limited
FRN 170601
- [FCA CF] Client dealing (since 7 Jun 2021)
- [FCA CF] Manager of certification employee (3 Aug 2023 to 26 Aug 2025)
GAM INTERNATIONAL MANAGEMENT LIMITED (no longer approved here)
FRN 122331
- CF30 Customer (7 Sep 2015 to 8 Dec 2019)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (1 Nov 2007 to 6 Sep 2008)
- CF21 Investment Adviser (24 Aug 2005 to 31 Oct 2007)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (1 Nov 2007 to 6 Sep 2008)
- CF21 Investment Adviser (24 Aug 2005 to 31 Oct 2007)

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.