Kathleen Ann Lumetta

Watch for changes

Where they hold approval

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

Coutts & Company (no longer approved here)
FRN 122287
- [PRA CF] Significant risk taker or Material risk taker (25 Oct 2021 to 24 Oct 2021)
- [FCA CF] Manager of certification employee (13 Sep 2018 to 4 Jan 2019)
THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (no longer approved here)
FRN 114724
- [FCA CF] Manager of certification employee (12 Jan 2021 to 24 Nov 2021)
Union Bancaire Privée (UK) Limited (no longer approved here)
FRN 119250
- CF30 Customer (7 Dec 2007 to 15 Apr 2009)
Nomura International Plc (no longer approved here)
FRN 124422
- CF21 Investment Adviser (1 Dec 2001 to 11 Apr 2002)

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.