Tracy Hetherington

Watch for changes

Where they hold approval

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

R.J. O'Brien Limited (no longer approved here)
FRN 114120
- SMF16 Compliance Oversight (10 Sep 2024 to 15 Jan 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (10 Sep 2024 to 15 Jan 2025)
G.H. FINANCIALS LIMITED (no longer approved here)
FRN 161807
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Nov 2022)
- SMF16 Compliance Oversight (9 Dec 2019 to 3 Nov 2022)
- CF11 Money Laundering Reporting (31 May 2018 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2015 to 8 Dec 2019)
ADM Investor Services International Limited (no longer approved here)
FRN 148474
- CF29 Significant management (1 Nov 2007 to 6 Nov 2015)
- CF17 Significant Mgt (Other Business Operations) (22 Jun 2004 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 8 Jun 2004)

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.