Sarah Frances Docx

Watch for changes

Where they hold approval

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

BNP Paribas Asset Management UK Limited (no longer approved here)
FRN 170064
- CF11 Money Laundering Reporting (20 Dec 2005 to 15 May 2006)
- CF10 Compliance Oversight (26 Sep 2005 to 15 May 2006)
Blackfriars Asset Management Limited (no longer approved here)
FRN 180892
- CF10 Compliance Oversight (4 Jul 2003 to 8 Jul 2005)

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.