Samantha Guthrie

Watch for changes

Where they hold approval

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

BERNSTEIN AUTONOMOUS LLP (no longer approved here)
FRN 500498
- [FCA CF] Material risk taker (10 Oct 2023 to 1 May 2024)
- SMF16 Compliance Oversight (25 Aug 2023 to 1 May 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2020)
- CF4 Partner (18 Aug 2016 to 1 Apr 2019)
- CF11 Money Laundering Reporting (9 Jul 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (9 Jul 2015 to 8 Dec 2019)
Haitong International (UK) Limited (no longer approved here)
FRN 196482
- CF10 Compliance Oversight (19 Oct 2012 to 28 Jun 2013)
- CF11 Money Laundering Reporting (5 Jul 2012 to 28 Jun 2013)

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.