Katherine Norris

Watch for changes

Where they hold approval

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

Thriving Investments Limited (no longer approved here)
FRN 775636
- SMF16 Compliance Oversight (31 Mar 2022 to 1 Oct 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (31 Mar 2022 to 1 Oct 2022)
Talbot Capital Ltd (no longer approved here)
FRN 489839
- CF30 Customer (5 Jun 2014 to 12 Nov 2018)
Forvis Mazars Corporate Finance Limited (no longer approved here)
FRN 197186
- CF30 Customer (28 Feb 2011 to 19 Dec 2014)

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.