Tracey Anne Potter

Watch for changes

Where they hold approval

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

Family Equity Plan Limited (no longer approved here)
FRN 122351
- [FCA CF] CASS oversight function (18 Jul 2023 to 1 Dec 2023)
Family Investment Management Limited (no longer approved here)
FRN 122394
- [FCA CF] CASS oversight function (18 Jul 2023 to 1 Dec 2023)
Engage Mutual Funds Limited (no longer approved here)
FRN 181487
- (119)[FCA CF] CASS oversight function (18 Jul 2023 to 1 Dec 2023)
Canaccord Genuity Wealth Limited (no longer approved here)
FRN 194927
- CF28 Systems and controls (4 Oct 2017 to 13 Dec 2018)
- CF29 Significant management (20 Sep 2017 to 4 Oct 2017)
- CF10a CASS Oversight function (1 Jun 2017 to 13 Dec 2018)
Morningstar Wealth Administration Limited (no longer approved here)
FRN 463566
- CF10a CASS Oversight function (1 Dec 2016 to 20 Jan 2017)
Persia International Bank Plc (no longer approved here)
FRN 208020
- CF10 Compliance Oversight (6 Oct 2008 to 19 Dec 2008)
Maybank Securities (London) Limited (no longer approved here)
FRN 144846
- CF10 Compliance Oversight (31 Jan 2003 to 24 Sep 2007)
- CF21 Investment Adviser (31 Jan 2003 to 2 Oct 2007)
- CF11 Money Laundering Reporting (31 Jan 2003 to 24 Sep 2007)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (119)[FCA CF] CASS oversight function at Engage Mutual Funds Limited

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.