Sophie Williams

Watch for changes

Where they hold approval

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

Link Fund Solutions Limited (no longer approved here)
FRN 119197
- SMF17 Money Laundering Reporting Officer (MLRO) (30 Jan 2023 to 12 Jun 2023)
- SMF16 Compliance Oversight (23 Mar 2022 to 12 Jun 2023)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- SMF16 Compliance Oversight (9 Dec 2019 to 30 Apr 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Apr 2020)
- CF11 Money Laundering Reporting (26 Oct 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Apr 2016 to 8 Dec 2019)
T. Rowe Price International Ltd (no longer approved here)
FRN 194667
- CF11 Money Laundering Reporting (1 Jun 2011 to 26 Jan 2016)

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.