Tracy Anne Mills

Watch for changes

Where they hold approval

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

Clear Street UK Limited
FRN 1006193
- SMF16 Compliance Oversight (since 7 Nov 2024)
- SMF3 Executive Director (since 7 Nov 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Nov 2024)
TD Execution Services Limited (no longer approved here)
FRN 472780
- SMF16 Compliance Oversight (28 Jul 2020 to 28 Jun 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (28 Jul 2020 to 28 Jun 2024)
Cantor Fitzgerald Europe (no longer approved here)
FRN 149380
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Feb 2020)
- SMF16 Compliance Oversight (9 Dec 2019 to 28 Feb 2020)
- CF11 Money Laundering Reporting (25 Mar 2013 to 3 Jun 2016)
- CF10 Compliance Oversight (27 Sep 2012 to 3 Jun 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.