Lucy Kate Williams

Last updated
5 days ago
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Where they hold approval

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

  • HSBC Asset Management (Fund Services UK) Limited

    FRN 974977

    • Director of firm who is not a certification employee or a SMF manager (since 28 Apr 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Significant management (21 Oct 2020 to 9 Sep 2021)
    • [PRA CF] Significant risk taker or Material risk taker (21 Oct 2020 to 9 Sep 2021)
    • CF10 Compliance Oversight (17 Jun 2013 to 6 Mar 2016)
  • Marks and Spencer Unit Trust Management Limited (no longer approved here)

    FRN 141662

    • [FCA CF] Significant management (21 Oct 2020 to 7 Jan 2021)
    • [FCA CF] Material risk taker (21 Oct 2020 to 7 Jan 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2020)
    • CF10 Compliance Oversight (17 Jun 2013 to 3 Mar 2016)
  • MARKS AND SPENCER FINANCIAL SERVICES PLC (no longer approved here)

    FRN 151427

    • [FCA CF] Significant management (21 Oct 2020 to 7 Jan 2021)
    • [PRA CF] Significant risk taker or Material risk taker (21 Oct 2020 to 7 Jan 2021)
    • SMF16 Compliance Oversight (19 Jul 2018 to 1 Jul 2020)
    • CF10 Compliance Oversight (17 Jun 2013 to 6 Mar 2016)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Significant management (21 Oct 2020 to 9 Sep 2021)
    • [PRA CF] Significant risk taker or Material risk taker (21 Oct 2020 to 9 Sep 2021)
    • SMF16 Compliance Oversight (1 Jul 2018 to 1 Jul 2020)
  • CHESNARA LIFE (UK) LIMITED (no longer approved here)

    FRN 133435

    • CF10 Compliance Oversight (17 Jun 2013 to 6 Mar 2016)
  • M&G Investment Management Limited (no longer approved here)

    FRN 119328

    • CF11 Money Laundering Reporting (22 Apr 2010 to 8 Dec 2011)
    • CF10 Compliance Oversight (22 Apr 2010 to 8 Dec 2011)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF10 Compliance Oversight (22 Apr 2010 to 8 Dec 2011)
    • CF11 Money Laundering Reporting (22 Apr 2010 to 8 Dec 2011)
  • Aviva Health UK Limited (no longer approved here)

    FRN 308139

    • CF10 Compliance Oversight (9 Jun 2008 to 2 Dec 2009)
  • Aviva Equity Release UK Limited (no longer approved here)

    FRN 310433

    • CF10 Compliance Oversight (29 Jan 2008 to 2 Dec 2009)
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