Katie Jane Yarwood

Watch for changes

Where they hold approval

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

Dyer & Co Wealth Management Ltd
FRN 591192
- (6)Employed By (since 15 Nov 2024)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 30 Dec 2013)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (1 Nov 2007 to 4 Jul 2012)
- CF21 Investment Adviser (21 Feb 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (7 Feb 2005 to 21 Feb 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.